lap manual 11-d march 2016 consultant procurement
TRANSCRIPT
LAP Manual 11-C March 2016 Consultant Procurement
Updated December 2017
LAP Manual 12-1 December 2017 Project Development
Chapter 12 PROJECT DEVELOPMENT 12.1 Project Scoping 12.2 Plan Design 12.3 Project Budget, Schedule and Estimates 12.4 Public Involvement 12.5 Plan submittals 12.6 Advertisement and Award
Project Development Checklists – included in each respective section INTRODUCTION Project Development Process The Project Development Process guides Preliminary Engineering processes through the use of multi-disciplinary concurrent efforts. It establishes a framework for increased involvement of all stakeholders in the project development lifecycle and promotes coordination and communication, ultimately improving the efficiency and quality of the project. Offered as a reference, the process documentation may be accessed at: Project Development Process. Tiered Approach to Project Oversight VDOT employs a tiered approach to project oversight. District Offices have delegated review and approval responsibilities for specific, lower-risk projects, identified as Tier 1 projects. Higher risk projects, identified as Tier 2 projects, require VDOT Central Office review and approval. Instructional and Informational Memorandum IIM-LD-249 provides the implementation process for this tiered project oversight process. With few exceptions, the tiered project oversight process is generally transparent to local governments administering federal or state-aid projects. Project oversight for locally administered projects will follow the same approval processes as VDOT-administered projects. Where clarification is necessary, the “VDOT Responsibilities” sections of this chapter will be identified as applying to Tier 1, Tier 2 or both processes. Project Oversight Definitions: Tier 1 projects typically are smaller projects with few risks, are non-federal oversight projects and have construction values of less than $10 million. Tier 1 Locally
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Administered projects will follow the applicable project review processes established by VDOT’s districts in accordance with the guidance provided by IIM-LD-249. Tier 2 projects include large projects, design build projects and all federal oversight and non-federal oversight projects having construction values greater than $10 million. Tier 2 Locally Administered projects will continue to have VDOT Central Office Division oversight and will follow the review processes outlined in this chapter. Federal Oversight: FHWA updated the definition for federal project oversight based on identifying Projects of Division Interest (PoDI). Information regarding this approach to project oversight is located in the archived FHWA document titled “Projects of Division Interest (PoDI)/Projects of Corporate Interest (PoCI) Guidance.”
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12.1 - PROJECT SCOPING
12.1 PROJECT SCOPING
This chapter includes the following topics
12.1.1 Introduction
12.1.2 Applicability
12.1.3 Scoping Process Requirements
12.1.4 Tasks / Submittals / File Documentation
12.1.5 References
Project Scoping Checklist
NEPA document
concurrence form submitted
Agreement executed
LPA
LPA prepares and conducts
Scoping
Meeting
LPA develops estimate 12.1.3 &
12.3.4
LPA develops schedule 12.1.3 & 12.3.3
LPA submits scoping
documentation to
VDOT
VDOT
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12.1.1 Introduction
Project Scoping defines the project. During the Scoping process, the LPA Project
Manager (PM) will identify those elements of the project that influence how the
project will be developed and delivered. The VDOT Project Coordinator (PC) is
available to assist the LPA Project Manager to facilitate the Scoping process based
on project complexity. This section outlines the processes and responsibilities
associated with Project Scoping for federal-aid projects and can be used by the LPA
to scope their state-aid projects. During project scoping, the project team, under the
leadership of the LPA Project Manager, defines the physical limits and features of
the project, establishes project estimate and schedule and determines the project
oversight level in accordance with Chapter 9.4.2. In most cases, the scoping phase
and report should be completed at the conclusion of the preliminary field inspection
(PFI) milestone phase. If this duration exceeds twelve months from the execution of
the project administration agreement, the LPA must obtain District concurrence.
VDOT’s Project Management Guide can be used as a reference during the scoping
process to assist the LPA in defining the activities that will be followed throughout
the project lifecycle. Additionally, the LAP Schedule Tool is available and
recommended for local governments use in developing preliminary engineering
project schedules.
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12.1.2 Applicability
Project scoping and the processes outlined in the section are required for all
federal-aid projects and those state-aid projects that are developed to qualify as
federal-aid eligible.
Project Scoping
Federal-aid State-aid / VDOT
Maintained
State-aid / LPA Maintained
X * * * Formal project scoping and coordination with VDOT is strongly encouraged for all projects. All projects must consider bicycle and pedestrian accommodations.
Special Program Requirements are noted at the end of each section.
12.1.3 Scoping Process Requirements
Project scoping is the first major project development phase milestone. During this
time the project purpose is refined and all available data related to the project such
as old plans, aerial photos and any miscellaneous documents are gathered. The
project team is also finalized. Each discipline represented on the project team
investigates the proposed project from the perspective of their discipline.
In accordance with Commonwealth Transportation Board’s (CTB) Policy, approved
on March 18, 2004, all projects shall consider the accommodation of
bicycles and pedestrians at the project scoping stage. Resources
regarding Bicycle and Pedestrian Facilities can be accessed at
http://www.virginiadot.org/programs/bk-default.asp (Biking and Walking in Virginia).
Determination of bicycle and pedestrian accommodations must be documented in
the project file.
When the scoping meeting is held, the LPA Project Manager and the project team
will present and discuss their respective project findings. The LPA Project Manager
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will consolidate the findings into a scoping report for submission to the VDOT Project
Coordinator for review.
Scoping must be completed within twelve months of execution of
the project administration agreement unless concurrence is
otherwise obtained from the District. Failure to complete scoping
within this time frame may result in the reevaluation of the locality’s ability to
administer the project in accordance with the Project Administration
Agreement.
By the end of project scoping, the LPA is required to prepare and submit
to the Project Coordinator a scoping report which includes the following:
Define project limits
Identify project issues that may affect project development, such as
environmental issues, right of way, design, utilities, construction, etc.
Finalize the purpose and need of the project
Refine preliminary project estimates to develop the initial construction cost
estimate
Identify project risks (cost, quality, safety, etc.) and develop risk mitigation
strategies
Finalize a project schedule (each team milestone should be clarified with all
team members and reviewed to ensure commitment). For additional
information on project scheduling see Section 12.3.3.
Determine the level of citizen involvement and level of NEPA documentation
required
Determination of Bicycle – Pedestrian Accommodations in accordance with
CTB Policy
For federal-aid bridge projects, preliminary touch-down points and the most
recent bridge inspection report (for bridges maintained by the LPA)
For SMART Scale funded projects, the scoping report will include a
certification statement that indicates either of the following statements:
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o No changes or additions in scope have been made since the
application for SMART Scale funds was submitted that will impact the
project benefit regardless of impact to budget.
<OR>
o Scoping changes did occur and the project was re-evaluated and re-
scored if necessary.
The PM-100 and accompanying functional area scoping worksheets may be used by
the LPA to document project scoping; however, VDOT signatures are not
required. The information necessary to meet scoping report requirements may be
contained within the application for projects requiring separate project applications,
such as TA or HSIP Projects.
VDOT Responsibilities:
Determine if the project will be developed as a Tier 1 or Tier 2
project.
The Project Coordinator will review the submitted scoping report and
ensure that it addresses all scoping needs as identified above.
If the project has not been created in the project pool, the Project
Coordinator will create a project at this time and will include
appropriate VDOT staff as team members in the iPM
Communications and Divisions tab.
All project decision or milestone-related documents, including the
scoping report, must be uploaded into the iPM documents tab.
The Project Coordinator will upload the initial scoping estimate into
PCES.
The Project Coordinator will enter milestone dates using the Project
Schedule based on the information provided by the LPA. Milestone
dates required are found in Section 12.3.3.
Oversight expectations for Project Development and preliminary
oversight expectations for Project Delivery will be identified and
provided to the LPA.
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Discussion of any potential project costs which may be ineligible for
reimbursement
The Project Coordinator will provide project scoping and
environmental documents to Civil Rights for review to ensure
compliance with Title VI
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Special Program Requirements
Transportation Alternatives Projects
Project Sponsors of TA Projects are required to submit quarterly status
reports, to their VDOT Project Coordinators, in order to ensure projects are
progressing appropriately toward their required four-year completion period.
These reports are due in January, April, July, and October and should identify
the critical milestones completed to date, as well as any delays or difficulties
encountered. The quarterly report may be accessed on the LAD external
forms site.
Urban Construction Initiative
UCI Municipalities are required to submit Life to Date Project Summary
Schedules with each federal reimbursement request for UCI Projects. These
summary schedules should be submitted every 30 days to the VDOT Project
Coordinator or as frequently as invoicing VDOT for federal reimbursement. In
addition, an Annual Project Financial Status Report should be provided to the
Local Assistance Division (LAD) in order to ensure projects are progressing
appropriately and to identify project costs and expenditures. The Annual
Project Financial Status Reports are due on August 31st of each year.
Additional information regarding the Life to Date Project Summary Schedule
Reports and the Annual Project Financial Status Reports can be found in
Appendix N of the Urban Construction and Maintenance Manual (aka Urban
Manual).
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12.1.4 Key Submittals / Requirements Task/Submittal/File
Documentation Locality
Responsibility (PM) VDOT PC
Responsibility Submittal Timing/
Recordkeeping Requirements
Review project and solicit information relative to project to establish project team
Determine what information is needed in coordination w/PC
Assist the PM Document the Project Team in iPM.
N/A
Plans, maps, aerials, and other supporting data to identify project area
Distribute materials to the project team
N/A
Not less than 15 days in advance of the scoping meeting
Scoping Coordination or Meeting
Plan, lead, and facilitate scoping coordination or a meeting, if held
The PC may attend if project complexity warrants
N/A
Determine scope and develop complete schedule, and project budget
Prepare and submit Scoping documentation to the PC and project team
Ensure documentation is uploaded to iPM Documents
LPA should retain through project closeout. For state aid projects, documentation must be kept in LPA project files.
Review and outline all tasks and deliverables necessary for project development
Prepare and submit schedule, with milestone dates to the PC
Document tasks and durations in the iPM Schedule. Monitor and update schedule based on locality input.
N/A
Scoping estimate Provide accurate project scoping estimate in PCES
Ensure project estimate is entered and updated in PCES
N/A
Quarterly Status Report – TA Projects
Submit to Project Coordinator
Ensure documentation is uploaded to iPM Documents
N/A
12.1.5 References
VDOT has an established scoping process that is used for VDOT administered
projects. This process includes helpful information such as checklists and forms that
may be beneficial for the project scoping process. The process is outlined in two
procedures, Initiate Project Scope and Final Project Scope. The LPA is encouraged
to use these reference documents as they move through the project scoping
process.
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Chapter 12.1 – Project Scoping Checklist These checklists can be found in their entirety in the VDOT on line forms library
CH 12.1 - Project Scoping
The project scope, developed by the project team under the leadership of the LPA Project Manager, defines the physical limits and features of the project, establishes the project budget and determines the project oversight level in accordance with Ch 9.4.2 and VDOT Central Office oversight in accordance with IIM-226.5.
SUBMIT COMPL F S-V S-L T-A UCI Requirement Reference LAP Other
X X1 X
1 X
1 X Project Scoping; include
discussion of all tasks and deliverables, project limits and footprint
12.1.1 12.1.3
X X X X X Develop Project budget and Project Cost Estimate
12.1.3
X X X X X Develop Project schedule 12.1.3
X X X X X Submit Scoping Report and documentation
2, includes
items outlined in 12.1.3. Project scoping should be completed within 12 months of the Project Agreement being executed.
12.1.3 2.7(b) 23CFR652.565
1 Formal project scoping and coordination with VDOT is strongly encouraged for all projects
2CTB Policy on Bicycle / Pedestrian Accommodations must be considered and submitted for all projects; a
complete scoping report is required for any federal-aid project
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12.2 PLAN DESIGN
This chapter includes the following topics
12.2.1 Introduction
12.2.2 Applicability
12.2.3 Design Standards
12.2.4 Design Exceptions and Waivers
12.2.5 Design Elements
12.2.5.1 Title Sheets
12.2.5.2 Surveys
12.2.5.3 Geotechnical Investigations
12.2.5.4 Traffic Control Devices / Intelligent Transportation Systems (ITS) /
Roadway Lighting
12.2.5.5 Americans with Disabilities Act (ADA)
12.2.5.6 Hydraulics
12.2.5.7 Landscaping
12.2.5.8 Transportation Management Plans (TMP)
12.2.5.9 Noise Barriers
12.2.5.10 Value Engineering
12.2.5.11 Constructability Reviews
12.2.5.12 Utilities
Plan Design Checklist
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12.2.1 Introduction
Plan Design is considered part of Preliminary Engineering (PE), which includes all
work from preparation of feasibility studies, conceptual, preliminary and final designs
up through and including the preparation of bidding documents. This chapter
outlines design standards, provides links to relevant VDOT guidelines and
addresses considerations for key design elements.
All final plans and specifications shall be sealed and signed by a Professional
Engineer, Landscape Architect or Land Surveyor licensed to practice in the
Commonwealth of Virginia and in accordance with State Department of Professional
Occupation Regulation (DPOR) requirements.
12.2.2 Applicability
Processes in this manual apply to federal-aid projects, projects on the NHS
and Primary Routes, and projects to be maintained by VDOT, regardless of
funding.
State-aid projects, off the NHS and maintained by the LPA, will be designed
in accordance with this manual; however, VDOT oversight of these designs is
limited to technical assistance as requested by the LPA.
Plan Design
Federal-aid State-aid / VDOT
Maintained
State-aid / LPA Maintained
X X X* * Projects are to be designed in accordance with this manual; however, VDOT oversight to these designs is limited to technical assistance as requested by the LPA
Special Program Requirements are noted at the end of each section.
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12.2.3 Design Standards
VDOT has adopted the AASHTO A Policy on Geometric Design of Highways and
Streets, commonly referred to as the AASHTO “Green Book,” as minimum design
standards. VDOT’s Road Design Manual meets, or exceeds, all AASHTO Green
Book design standards.
All LPA administered projects to be maintained by VDOT, regardless of funding
source, shall be designed in accordance with VDOT’s Road Design Manual or seek
a design waiver and/or design exception.
VDOT publishes a series of Instructional & Information Memoranda as well as other
Manuals and Guides, which provide additional guidance and clarification regarding
design standards. Local governments are encouraged to use these as additional
resources when considering the design features of their projects to ensure
consistent state-wide design.
All LPA administered projects to be maintained by the LPA shall be designed in
accordance with AASHTO’s Policy on Geometric Design of Highway and Streets
(the “Green Book”) or seek a design exception.
LPAs may develop their own design standards and construction specifications,
which meet or exceed VDOT and AASHTO. However, they must be reviewed and
approved by the VDOT State Location and Design Engineer for projects off the
National Highway System, and also by FHWA for projects on the National Highway
System. Local governments are expected to notify the VDOT Project Coordinator
whenever alternative designs and specifications are being utilized and provide a list
of the proposed modified designs and specifications and how those modifications
differ from VDOT’s.
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For projects to be maintained by VDOT, the LPA Project Manager shall
provide the VDOT Project Coordinator a complete electronic plan assembly
in single page PDF format to be filed in the VDOT Plan File Library when:
right of way plans have been completed and approved for right of way
acquisition
project design plans have been completed and approved to advertise
12.2.4 Design Exceptions and Waivers
Design Waivers
Designs for projects maintained by VDOT that do not meet VDOT’s “minimum”
design standards, but exceed AASHTO’s design standards require a written Design
Waiver. The LPA or its consultant shall prepare and submit the Design Waiver Form
(LD-448)
and any accompanying documentation to the VDOT Project Coordinator as soon as
it becomes apparent that a waiver is required. The design waiver review process
should take approximately two (2) weeks from the time of receipt of a complete
submittal. The VDOT Project Coordinator will forward the design waiver to the
District Location and Design Engineer for review and action (approval or denial).
Once the review has been completed and action taken, the Design Waiver request
will be sent back to the VDOT Project Coordinator for coordination with the Locality
LPA Project Manager. Design waivers are not required on projects that will be
maintained by the locality.
For more information on the Design Waiver process for road projects, refer to LD-
IIM-227.
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VDOT Responsibilities:
Design Waivers are processed at the District Location and Design
Office.
The VDOT Project Coordinator will forward the Design Waiver
request to the District Location and Design Engineer for review and
action (approval or denial).
The VDOT Project Coordinator will notify the LPA of the decision.
All documents relating to the Waiver and the approval notification
must be uploaded into iPM.
Design Exceptions
Designs that do not meet the minimum design standards contained in the AASHTO
“Green Book” require a written Design Exception. The locality or its consultant shall
prepare and submit the Design Exception Form (LD-440) and any accompanying
documentation to the VDOT Project Coordinator as soon as it becomes apparent
that an exception is required. The design exception review process should take
approximately two weeks from the time of receipt of a complete submittal.
VDOT Responsibilities:
VDOT Project Coordinator will forward the Design Exception request
through the District L&D Section, to the State Location and Design
Engineer for review and action (approval or denial). Once the review has
been completed and action taken, the Design Exception request will be
sent back to the VDOT Project Coordinator for coordination with the LPA
Locality Project Manager.
All documents relating to the Exception and the approval notification
must be uploaded into iPM by the PC.
The Design Exception Form can be accessed at: LD-440
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For more information on the design exception process for road and bridge projects,
refer to LD-IIM-227.
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12.2.5 Design Elements
The following is a list of design elements that are typically required in a set of
roadway and bridge plans:
12.2.5.1 Title Sheets
VDOT prepared Title Sheet templates for Federal-aid Tier 1 and Tier 2 Projects and
for State-aid Projects shall be used. LPA’s are responsible for ensuring that the
most current version of the applicable title sheet is being used in the plan assembly.
Title sheet templates for Federal-aid Projects Tier 1 and Tier 2 Projects and State-
aid Projects are available in the VDOT CADD Cell Library. The specific file links are
below:
TIER 1 TITLE LAP FED TIER 2 TITLE LAP FED TITLE LAP STA
In addition, VDOT has prepared title sheets to be specifically used with Design-
Build/PPTA projects. These include a RFQ/RFP Plans Submittal title sheet, a Right
of Way Submittal title sheet, a Construction Submittal title sheet and an As-Built title
sheet. The specific file links are:
TITLE LAP DB (RFP/RFQ) TITLE_LAP_DB_ROW TITLE_LAP_DB_CONST TITLE_LAP_DB_ASB (As-Built)
For assistance, LPA’s or design firms should contact the CADD Support Helpdesk at
For information on Title Sheet requirements, refer to IIM-LD-204.
LPA’s are responsible for ensuring that title sheets have the required signatures and
that project plans are properly signed and sealed in accordance with Department of
Professional and Occupational Regulations (DPOR). For information on Sealing and
Signing Requirements/Title Sheet Signatures, see Section 12.5.3.
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Special Program Requirements
Transportation Alternatives
All trail, roadside, and bridge plans must be reviewed by the Department; however,
Transportation Alternatives / Enhancement projects do not require Department
signatures on the title sheet. When plans are submitted for review, the title sheet
should include the project name, state / federal project numbers, local signature
boxes, and a professional engineer’s seal. It should also specify the standards and
specifications under which the project is to be constructed; but they should not be
submitted for VDOT signature.
Urban Construction Initiative
UCI projects do NOT require VDOT signatures on Title Sheets. The Title Sheet
must be signed by a person of responsible charge with the municipality. By this
signature, the municipality is certifying that the plans have been prepared, by staff or
consultants, to an appropriate level of completion and accuracy, that the designer
has followed accepted standards, procedures, policies, methods of practice, etc.,
that are consistent with the engineering and design of plans for such work.
12.2.5.2 Surveys
The first step in physical project development is identifying the project site. In some
cases the land may be owned by the State or local government. In other cases, it
may be necessary to purchase land for the project. In those cases where the land is
already owned by state or local government, it will be necessary to conduct project
design surveys to specify where the new construction will take place.
Survey Procedures
Section 33.2-1011 of the Code of Virginia requires that advance notice be provided
to property owners prior to entering their property to ascertain its suitability for
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highway purposes. VDOT’s Survey Manual, which can be accessed at
http://www.virginiadot.org/business/locdes/manual-survey-index.asp, is a resource
for local governments and outlines VDOT’s business practices regarding survey. A
copy of VDOT’s form letters is available from the Right of Way and Utilities
Management System (RUMS) forms repository.
Project design surveys – The purpose of a project design survey is to identify the
project site sufficiently to allow the development of detailed engineering plans,
specifications, and cost and material quantity estimates. Project design surveying
must be performed under the supervision of a Land Surveyor (LS) licensed to
practice in the Commonwealth of Virginia by the Virginia Department of
Occupational Regulation (DPOR). Project design surveys often involve aerial
mapping and Global Positioning Survey (GPS) techniques, as well as placement of
physical markers. In addition to the project design survey, a survey will be needed
for the purposes of legal title transfer.
If the project is on state property, right of entry will be allowed under the project
administration agreement. Before a LPA can begin work (including surveying) on a
roadway that is part of the interstate, primary or secondary system of highways, it
must secure a land use permit from VDOT. This permit is issued through the VDOT
Residency and usually will be issued at no cost.
Survey for land acquisition and title transfer - If the LPA is purchasing land for the
transfer to state ownership (underlying fee ownership) or for a federal aid project, the
requirements outlined in VDOT’s survey manual must be followed. If the LPA is
purchasing land for the locally maintained system without federal funds, the LPA can
follow its own survey and title requirements.
12.2.5.3 Geotechnical Investigations
LPA’s are required to provide geotechnical engineering data consistent with the
requirements outlined in the Materials Manual of Instructions, Chapter 3. Local
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jurisdictions shall coordinate with the VDOT Project Coordinator in advance of
performing subsurface exploration. Laboratory testing for VDOT projects requires
that the testing laboratory be certified by the AASHTO Materials Reference
Laboratory (AMRL). Chapter 3 of the Manual of Instructions can be accessed at the
following link:
http://www.virginiadot.org/business/resources/bu-mat-MOI-3.pdf
The use of alternate bid items or speculative amounts in the bidding process is
generally NOT an acceptable replacement for complete geotechnical investigations.
12.2.5.4 Traffic Control Devices/Intelligent Transportation Systems (ITS) /
Roadway Lighting
VDOT’s Traffic Engineering Design Manual, which can be accessed at
http://www.virginiadot.org/business/locdes/traffic-engineering-manual.asp, is VDOT’s
standard and recommended for design elements related to traffic control devices,
ITS and Roadway lighting.
12.2.5.5 Americans with Disabilities Act (ADA)
The Americans with Disabilities Act of 1990 (ADA) is legislation intended to provide
adequate accessibility to all persons. Title II of ADA applies to State and Local
Governments and its requirements affect design, construction and maintenance of
all transportation projects, regardless of the funding source.
VDOT’s policy is to provide facilities for persons with disabilities in accordance with
the Code of Virginia, Section 15.2 –2021.
For more information on ADA requirements related to transportation facilities, refer
to LD-IIM-55.
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The ADA requires that all new construction, reconstruction and alterations to
existing pedestrian facilities be constructed in accordance with federal accessibility
standards. Pedestrian facilities include sidewalks, shared use paths or other public
walkways. Where such facilities intersect a street, the portion of the street used by
pedestrians, whether marked as a crosswalk or not, is also considered part of the
pedestrian facility.
Project activities are considered an “alteration” if they involve changes to the
structure, grade, function or use of the street or sidewalk. Examples include full
depth pavement replacements, widening, resurfacing, signal installation, pedestrian
signal installation and other work of similar scale and effect.
When the scope of a transportation project includes modifications to existing
pedestrian facilities, those facilities must be brought up to current accessibility
standards. For example, if a street resurfacing project alters the sidewalk, curbs or
street surface in the crosswalk area, curb ramps must be installed as part of the
project. If curb ramps already exist, but do not meet the current accessibility
standards, those ramps must be either reconstructed or retrofitted to meet the
current accessibility standards.
FHWA and the Department of Justice (DOJ) issued a Joint Technical Assistance
(JTA) memorandum on the requirements to provide curb ramps, in accordance with
Title II of the ADA, whenever roads are altered through resurfacing. The JTA
memorandum clarifies the definition of an “alteration” during road surfacing activities,
requiring compliance with Title II of the ADA. The memorandum can be accessed
at http://www.ada.gov/doj-fhwa-ta.htm. Also, see TE-377 for additional information.
12.2.5.6 Hydraulics
All projects that will be maintained by VDOT, except those improvements
undertaken through the Rural Rustic Roads program, must be designed in
accordance with VDOT’s Drainage Manual, which can be accessed at
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http://www.virginiadot.org/business/locdes/hydra-drainage-manual.asp, and is
available as a resource for local governments.
12.2.5.7 Landscaping
It is recommended that all Landscape Plans, which will be maintained by the
Department, be designed in accordance with VDOT’s Guidelines contained in
Appendix B (1) of the Road Design Manual as well as LD-IIM-253.
12.2.5.8 Transportation Management Plans (TMP)
23 CFR 630 Subpart J, also referred to as the Work Zone Safety and Mobility Final
Rule, applies to all State and local projects that receive Federal-aid highway funding
and provides a decision-making framework known as Transportation Management
Plans (TMP) that consider broader safety and mobility impacts of work zones across
project development stages, and the adoption of additional strategies that help
manage these impacts during project implementation. The TMP is not a separate
document, but is used in the development of traffic control in construction plans. A
TMP is a set of strategies which working together, should improve the safety and
functionality of temporary traffic control during construction. These strategies are
divided into three broad groups which are captioned as: 1) Temporary Traffic
Control, 2) Public Information; and 3) Transportation Operations. The degree of a
project’s TMP requirements is based on the project’s level of complexity. VDOT’s
guidelines categorize a project into one of three types of transportation
management. The Guidelines are available at:
http://www.extranet.vdot.state.va.us/locdes/electronic_pubs/iim/IIM241.pdf
12.2.5.9 Noise Barriers
When warranted based on noise analysis, noise wall profiles should be included in
the plans. Most noise barriers are designed by the contractor with local review and
approval on the locally maintained system. VDOT concurrence is required on roads
that will be maintained by the Department.
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12.2.5.10 Value Engineering
Federal regulations outline requirements for Value Engineering (VE) studies and the
Code of Virginia requires a VE study on all projects exceeding $5 million in
construction cost. The locality will complete the VE process and, all
recommendations must be submitted to VDOT. The final decision as to which
recommendations are incorporated into the final plans is made by the Chief
Engineer for all federal aid projects and any project to be maintained by VDOT.
VDOT has a VE team which is available to assist, guide or lead LPAs in the
development of the VE process and or study. Additional information regarding value
engineering studies can be found on the VDOT Value Engineering Web site.
Special Program Requirements
Urban Construction Initiative
For UCI Projects, the municipality will oversee and perform the value engineering
process. Final decisions regarding which recommendations are incorporated into
the project will be made by the municipality’s person of responsible charge. A final
copy of the VE study must be submitted to the VDOT project coordinator for record
keeping purposes; however, no VDOT action is necessary.
12.2.5.11 Constructability Reviews
The purpose of a constructability review is to determine if a project can be
constructed as designed with the information provided on the drawings,
specifications and copied notes.
Constructability reviews shall be conducted by the LPA for all projects to be
maintained by VDOT and for federal aid projects. Constructability reviews are
recommended for any other projects on the locally maintained system. Additional
LAP Manual 12-25 December 2017 Project Development
information on performing constructability reviews can be found in VDOT’s Road
Design Manual, Chapter 2G-5.
12.2.5.12 Utilities
Private utility companies may be reimbursed for relocating utilities that are in conflict
with the project, at project expense, when they have been located on easement or
have prior rights in the existing location. It is also recognized that some localities
have franchise agreements with utility companies that require the company to move
its utility because of a project, at the company’s expense. In that case, the locality
shall enforce the terms of its agreements in order to save project funds. Utility
relocations have to be viewed as regional efforts, since all utility relocations within a
region compete for a utility’s time and resources. Early coordination with utility
owners is highly recommended.
In order to pay for utility adjustments as a project expense, a detailed utility plan and
cost estimate needs to be prepared. Eligible project expenses for utilities basically
result in the in-kind replacement of any utilities that are in conflict with the project.
Any county without an existing utility franchise agreement when administering a
VDOT sanctioned project under a land use permit or transportation project
agreement shall have the same authority as the Department pertaining to the
relocation of utilities. In accordance with the above, it is recognized that in some
instances the locality’s utility facility owner may want to provide upgraded utilities or
to install new utilities while the highway is being disturbed for construction purposes.
This is known as “betterment,” and is generally not an eligible project cost. It makes
sense to perform betterment work at the same time the project is being constructed,
so the contractor may perform the work during construction, with the utility facility
owner being responsible for the cost of the betterment portion from a different
funding source. For information pertaining to local participation in the cost of utility
adjustments and storm sewer improvements (betterment), see IIM-LD-146.
LAP Manual 12-26 December 2017 Project Development
VDOT’s Right of Way and Utilities Manual, Volume II
(http://www.virginiadot.org/business/row-default.asp) provides additional references
to the processes and procedures regarding utility relocations and betterments.
LAP Manual 12-27 December 2017 Project Development
Chapter 12.2 – Plan Design Checklist
These checklists can be found in their entirety in the VDOT on line forms library
CH 12.2 - Plan Design
Plan Design is considered part of Preliminary Engineering (PE), which includes all work from preparation of feasibility studies, conceptual, preliminary and final designs up through and including the preparation of bidding documents. This chapter outlines design standards, provides links to relevant VDOT guidelines and addresses considerations for key design elements.
SUBMIT COMPL F S-V S-L T-A UCI Requirement Reference LAP Other
X X -- X -- Design meets VDOT Standards 12.2.3
X X X X X Design meets AASHTO Standards 12.2.3
X X -- X X Approved plans submitted electronically (PDF format) at advertisement
12.2.3
X X X X X LD-440 for Design Exception (to AASHTO standards)
12.2.4
X1 X -- X -- LD-448 for Design Waiver (to VDOT
Standards) 12.2.4
X X -- X --
Use VDOT prepared title sheet templates
12.2.5.1
X X X X X Compliance with Americans with Disabilities Act (ADA)
12.2.5.5
X X -- X X Preparation of TMP 12.2.5.8
X X X X X Value Engineering for Projects over $5 million
12.2.5.10
X X -- X X Conduct constructability review 12.2.5.11
1 Federal-aid projects on locally maintained roads do not require design waiver; AASHTO is minimum standard
LAP Manual 12-28 December 2017 Project Development
12.3 PROJECT BUDGET, SCHEDULE, AND ESTIMATES
This chapter contains the following topics:
12.3.1 Introduction
12.3.2 Applicability
12.3.3 Project Schedules
12.3.4 Project Budgets and Estimates
12.3.4.1 Project Budgets
12.3.4.2 Project Estimates
12.3.4.3 Quantity Summaries/Engineer’s Estimates (prior to
advertisement)
12.3.5 Tasks / Submittals / File Documentation
12.3.6 References
Budget, Schedule and Estimates Checklist
LAP Manual 12-29 December 2017 Project Development
12.3.1 Introduction
This chapter outlines the actions required to develop, update and monitor project
development schedules, estimates and budget. The LPA’s Project Manager is
responsible for the development and management of the schedule, estimates and
budget for Preliminary Engineering, Right of Way and Construction throughout the
entire project life cycle. It is critical that both schedules and estimates be updated
regularly within VDOT’s systems (iPM Schedule and PCES), because they are
utilized for developing our annual federal strategy for obligation of funds.
Project scheduling is essential in monitoring and managing project development. At
project scoping, a schedule must be established reflecting key milestones in project
development. As these milestones are met, or when the timeframe must be
changed, the schedule must be updated and documented in the iPM Schedule by
the VDOT Project Coordinator.
Estimates must be current and maintained in VDOT’s Project Cost Estimating
System (PCES). The purpose of PCES is to collect data for a specific project and,
based on the data entered; determine a budget for that project. Project budgets
should be reviewed and estimates must be updated at every project milestone.
Project budgets will be affected by significant changes in the project scope and or
schedule and should be updated accordingly.
12.3.2 Applicability
Accurate schedules and estimates should be established and updated regularly for
all project categories by the locality, in coordination with their VDOT Project
Coordinator.
Project Budget, Schedule, & Estimates
Federal-aid State-aid / VDOT
Maintained
State-aid / LPA Maintained
X X X
LAP Manual 12-30 December 2017 Project Development
Special Program Requirements are noted at the end of each section.
12.3.3 Project Schedules
Every project requires a schedule and the LPA Project Manager is responsible for
the overall development and management of the project schedule with collaboration
and support from project team members. Scheduling encompasses a combination
of required tasks and project information to relate unique project characteristics with
available resources and time requirements. A complete project schedule should be
developed during the scoping process with input from the team members. The
number of tasks required in the schedule will depend on the complexity of the
project.
A Schedule Tool is available and recommended for LPA use that will accommodate
the majority of project types and varying circumstances. The schedule tool uses
default “typical” tasks and durations which can be modified to fit individual project
needs. The Schedule Tool utilizes basic scheduling logic to develop a realistic
schedule that correlates with the VDOT local project scheduling templates.
The LPA Project Manager shall submit, as part of the scoping package, a final
baseline project schedule to include at a minimum the following key milestone dates:
Scope Project
Project Definition Form (EQ 429) Submittal , when applicable
NEPA Document Completion
Right of Way & Utilities Federal Authorization Request / Submission of complete
R/W Plans and RW301/EQ201
Right of Way Acquisition start date (when applicable)
Permit Acquisition (when applicable)
Advertisement Date
LAP Manual 12-31 December 2017 Project Development
VDOT’s strategy for the expenditure of federal funds is prepared
utilizing the project schedule and key milestone dates for preliminary
engineering, right of way and construction that is developed during the
scoping process for each project. It is critical that the locality develops and
submits realistic dates for each of these phases. Annually VDOT submits its
expenditure strategy to FHWA with the expectation that localities will meet the
projected dates. Localities are accountable for meeting the submitted
schedule, and failure by the LPA to meet project schedules may risk future
funding for locally administered projects.
VDOT Responsibilities:
The Project Coordinator will enter, monitor and maintain the following key
milestones in the iPM Schedule module at the beginning of the project:
Scope Project (22)
Environmental Review Process (17E) when applicable
SERP (18) when applicable
Authorize R/W and Utilities (52)
Plan Submission Date (PS&E Submittal Date) (72X)
Environmental Reevaluation (66)
Construction Authorization (79)
Advertise Project (80)
The Project Coordinator or VDOT Construction Project Monitor, as
applicable, will input the following dates for tracking purposes within 10
business days of completion of the activity:
Award Contract (84)
Administer Contract (Construction start and complete dates) (91).
After construction completion and submission of C-5, project status
changed to ‘Construction Complete’ and dates entered in the Project Pool.
LAP Manual 12-32 December 2017 Project Development
12.3.4 Project Budgets and Estimates
12.3.4.1 Project Budgets
The LPA is fully responsible for monitoring the project budget. When estimates (see
section 12.3.4.2 below) identify a budget shortfall, the LPA Project Manager must
identify available funding sources. If additional funding is necessary, the VDOT
Project Coordinator must be notified so that the Project Administration Agreement
can be modified and any impacts to the SYIP or SSYP can be addressed.
The federal obligation strategy is based on schedules and estimates provided by
LPAs for LPA administered projects. LPAs are expected to meet the schedule to
ensure that federal obligations are not lost. The VDOT Project Coordinator has the
responsibility, after consultation with the LPA Project Manager, to delay scheduled
activities, if in the Project Coordinator’s judgment; the schedule is unrealistic and will
have an adverse impact on the federal obligation strategy or the funding program.
VDOT Responsibilities:
Schedules and estimates for locally administered projects must not be
changed without the locality’s concurrence. However, when the
schedule is unrealistic and may create funding problems, the Project
Coordinator may request that the schedule be modified. Any
modifications must first be discussed with the LPA Project Manager
and coordinated through the District Planning and Investment Manager
and Central Office Infrastructure Investment Division.
Authorization to begin activities in each phase will not be issued until
the phase is fully funded or funds to complete the phase have been
identified.
When projects are “limited funding,” that is the project will not receive
additional federal or state-aid, the LPA is responsible for securing
additional funding necessary to complete the phase/project and
identifying the funding in the project administration agreement.
LAP Manual 12-33 December 2017 Project Development
12.3.4.2 Project Estimates
The LPA is required to provide a revised project estimate at key project milestones
and as necessary when the project estimates change due to scope, funding or other
modifications. The LPA may use VDOT’s estimating system (PCES) or their own;
however, all estimates must be included in PCES. For LPAs that use their own
estimating systems, the estimate can be manually uploaded into PCES. When
uploading estimates to PCES, the PCES Alternate Right-of-Way Worksheet and/or
Alternate Utilities Worksheet must be used. The use of a lump-sum estimate is not
adequate for submittal to FHWA for RW authorization.
The LPA Project Manager is responsible for preparing and uploading the project
estimate in PCES. In doing so, the locality must select the current milestone stage
using drop-down selection and recommended estimate in PCES at the intervals
stated in the previous paragraph.
The PCES system will automatically generate a budget adjustment revision request
if the updated project estimate results in a 10 percent increase or decrease or a
difference of $50,000 or more.
Special Program Requirements
Urban Construction Initiative
UCI Municipalities have access to VDOT’s PCES and are expected to enter project
estimates.
LAP Manual 12-34 December 2017 Project Development
12.3.4.3 Quantity Summaries / Engineer’s Estimates (Prior to Advertisement)
Quantity summaries should be computed and developed utilizing quantity take-offs
from the plans. An accurate summary of quantities is critical to prospective
contractors interested in submitting a bid on the project. This information leads
directly to the Engineer’s Estimate, which combines the computed quantities of work
and the estimated unit bid prices. The Engineer’s Estimate should be updated, as
necessary, up until the bids are opened.
12.3.5 Key Submittals / Requirements Task/Submittal/File
Documentation Locality
Responsibility VDOT Project Coordinator
Responsibility
Submittal Timing/ Recordkeeping Requirements
Establish project schedule
Develop and provide a project schedule to include all tasks needed to complete the project to the VDOT Project Coordinator.
Enter appropriate milestones dates in the iPM Schedule.
After completed scoping process
Maintain project schedule
Provide the VDOT Project Coordinator with schedule changes in a timely manner. Provide the VDOT Project Coordinator dates scheduled tasks are completed in a timely manner.
Monitor and update the project schedule in iPM, as appropriate based on input from the LPA Project Manager.
N/A
Provide timely and accurate estimates in PCES
Enter the project estimate in PCES and update
Review estimates and provide technical assistance
At key project milestones or as necessary
12.3.6 References
Project Cost Estimates - 23 CFR 630 (a) (4)
Project Development Schedules -
http://www.virginiadot.org/business/resources/Project_Development_Schedules.pdf
Project Development Budget and Estimates -
LAP Manual 12-35 December 2017 Project Development
http://www.virginiadot.org/business/resources/Project_Development_Budget_and_E
stimates.pdf
PCES Users Guide - http://isyp/scoping/docs/PCES.pdf
LAP Manual 12-36 December 2017 Project Development
Chapter 12.3 – Budget, Schedule and Estimates Checklist These checklists can be found in their entirety in the VDOT online forms library
CH 12.3 - Budget, Schedule & Estimates
The LPA is responsible for the development and management of the schedule, estimates and budget for Preliminary Engineering, Right of Way and Construction throughout the entire project life cycle.
SUBMIT COMPL F S-V S-L T-A UCI Requirement Reference LAP Other
X X X X X Submit schedule related forms as part of the scoping package
12.3.3
X X X X X Submit updated schedule at key milestones and as needed
12.3.3
X X X X X Submit updated project estimates at key milestones and as needed
12.3.4
LAP Manual 12-37 December 2017 Project Development
12.4 PUBLIC INVOLVEMENT
This chapter includes the following topics:
12.4.1 Introduction
12.4.2 Applicability
12.4.3 Purpose of Public Participation
12.4.4 Types of Public Involvement
12.4.5 Public Participation Requirements
12.4.6 Public Participation Procedures
12.4.7 Transcript of Public Hearing
12.4.8 Location and/or design approval for projects on which a hearing or
hearings are held
12.4.9 Location and/or design approval for projects on which a posting of
notice of willingness to hold a hearing
12.4.10 Tasks / Submittals / File Documentation
12.4.11 Regulatory References
12.4.12 Miscellaneous References
Public Involvement Checklist
LAP Manual 12-38 December 2017 Project Development
12.4.1 Introduction
This section discusses the processes and responsibilities associated with Public
Information and Participation for federal-aid projects. The final outcome of this
process should be that all projects are developed in a manner that provides the
general public with a well-publicized opportunity to both review and discuss the
proposed plans and potential impacts for the project.
During the development of transportation projects it is essential that public
participation be considered. LPA's have a responsibility to provide residents of their
community and other interested parties with an opportunity to participate, by
expressing their viewpoints and concerns, in the development of the project. It is
incumbent upon the LPA to include public participation opportunities before the
project has reached a point where it becomes impractical to make extensive
modifications. LPA's across the Commonwealth have robust public participation
processes in place for their land planning and zoning programs, and are encouraged
to broaden the scope of those existing processes to include transportation projects.
Public participation may range from individual meetings with affected residents to
informal community meetings or area wide project development workshops and
citizen information meetings to formal Public Hearings on a project. LPA's
undertaking transportation projects, whether the project is state funded or federally
funded, must adhere to the requirements outlined in this chapter for an opportunity
for a public hearing under certain circumstances.
Where a locally administered project requires the preparation of an Environmental
Assessment (EA) or Environmental Impact Statement (EIS), the LPA is required to
hold a public hearing on the project, in accordance with the requirements of this
chapter.
LAP Manual 12-39 December 2017 Project Development
12.4.2 Applicability
Federal-aid Highway Projects and State-aid Highway Projects that are NOT
federally exempt must follow the processes defined in this chapter.
State-aid Highway Projects that have a federal exemption must follow processes
defined in §15.2-2204, §15.2-2239, § 15.2-1800 and any other sections of the Code
of Virginia applicable to a LPA’s capital improvement program. The LPA will certify
adherence to those processes as noted in Chapter 5 (state funded projects) of this
manual.
Public Involvement
Federal-aid State-aid / VDOT
Maintained
State-aid / LPA Maintained
X * * * State-aid projects that are not federally exempt shall follow the processes applicable to Federal-aid
projects.
12.4.3 Purpose of Public Participation
Public Hearings and Public Information Sessions provide the general public with a
well-publicized opportunity to both review and discuss proposed plans for a highway
project. Project information should be provided in sufficient detail to allow property
owners along a project corridor or others with an interest in a project to identify
specific features or property that may be impacted by the proposal, discuss those
with a member of the project team and if necessary, provide a mechanism for the
expressing and documenting concerns or views related to the project.
VDOT’s Public Involvement Manual serves as an excellent resource for public
participation processes.
LAP Manual 12-40 December 2017 Project Development
12.4.4 Types of Public Involvement
Willingness to hold a public hearing - If a project is noncontroversial, does not
have the potential to substantially impact adjoining property, and is unlikely to
generate requests for a hearing, a willingness to hold a public hearing may be
used rather than scheduling a public hearing.
Individual (one-on-one) – When an interested party has requested that a public
hearing be held, often a separate meeting with that interested party can be held
to address concerns. If the interested party’s concerns are adequately
addressed, a separate public hearing is not required.
Formal Public Hearing – The formal public hearing process is conducted as a
structured meeting between the project team and public audience at a
designated time. The project team presents the project to the audience and then
the audience is provided an opportunity, one at a time, to respond with
comments and questions. All activities and comments are recorded and entered
into a hearing record. The record is held open for at least 10 days after the
hearing for additional written comments to be submitted. Prior to the formal
process individuals may discuss the proposed project with team members for an
one-on-one explanation and discussion about their specific concerns and
questions. Individuals have the opportunity to have their comments and
questions recorded verbally, in writing or delivered directly to the project team as
a part of the formal hearing activities.
Open Forum Public Hearing – The open forum public hearing is conducted in
an open meeting format. Individuals may arrive at various times, be given a brief
hearing orientation and directed to project team members for one-on-one
explanations and discussions about their specific concerns and questions.
Individuals have the opportunity to have their comments and questions recorded
verbally or in writing for the hearing record. No structured meeting is conducted
as part of the open forum public hearing.
LAP Manual 12-41 December 2017 Project Development
12.4.5 Public Participation Requirements
According to federal regulations found in 23 CFR 771.111(h)(2)(iii) one or more
public hearings or the opportunity for hearing(s) must be held for any federal-aid
project which requires: significant amounts of right-of-way; substantially changes the
layout or functions of connecting roadways or of the facility being improved; has a
substantial adverse impact on abutting property; otherwise has a significant social,
economic, environmental, or other effect; or for which FHWA determines that a
public hearing is in the public interest.
Federal-aid projects which are processed with a Categorical Exclusion (CE), or a
Programmatic Categorical Exclusion (PCE), by definition, have been found to not to
have any significant social, economic or environmental effects. When none of the
other criteria exist, and the document availability requirements for a public hearing
(PCE and CE) have been considered, then these projects may not require a formal
public participation or public hearing process. Anytime an environmental
assessment is necessary, a public hearing must be held or an opportunity for a
hearing must be offered.
LPAs must ensure that other Virginia Code requirements applicable to local
governments have been met. VDOT takes a more conservative approach in their
project administration by providing an opportunity for a public hearing for nearly all
construction projects.
The decision regarding the level of public involvement must be documented during
the scoping process with the concurrence of the VDOT Project Coordinator. The
burden of proof that a public hearing or an opportunity for a public hearing
(i.e. posting of a willingness) is not necessary, lies with the local government
administering the project and should be fully documented during the scoping
process. For example, a sidewalk construction project on existing right of way
would be an example of a project which does not normally meet the criteria for a
public hearing and may proceed without one provided the criteria that requires a
hearing is not met.
LAP Manual 12-42 December 2017 Project Development
The following are guidelines which may be used for determining when public
hearings are to be held, or when a "willingness to hold a public hearing" is sufficient.
They are:
Projects on roadway corridors, which are completely on new location, require a
location public hearing followed by a design public hearing.
Projects within the existing roadway corridor with a predominant portion of the work
on new location require a combined location and design public hearing.
Projects within the existing roadway corridor that have a significant social, economic
or environmental impact require a design public hearing.
Projects within the existing highway corridor where significant social or
environmental impacts, or both, are anticipated require publication of a notice of
willingness to hold a design public hearing. The locality will hold a design public
hearing if a request for such a hearing is made, and the issues raised in relation to
the request cannot be resolved through any other means.
When a significant period of time has passed since an initial public hearing or
willingness notification, the potential impacts of the project and the concerns of
affected citizens may change. Accordingly, there may be a need for additional
public participation. If changes in land use, population or impact to the environment
have taken place within the project area, a public hearing may be necessary.
VDOT Responsibilities:
Project Coordinator will review determination of public involvement
requirements at scoping.
12.4.6 Public Involvement Procedures
Public Notification – Public notices are published as a means to inform the public
of various proposals and invite public participation. Minimally, public notice in a
newspaper is required but additional methods should be pursued if the locality
believes that they will help in reaching the public and improve public involvement in
LAP Manual 12-43 December 2017 Project Development
the project. Methods of public notification for a public hearing or a willingness to
hold a public hearing include:
o Paid public notice must be made in a local newspaper – at least twice – the
first notice must appear 30 days before the hearing date and the second
notice between five days to twelve days before the hearing.
o News releases
o Letters to adjacent property owners
o Posting of notice in local businesses and public facilities
o Notifications of special interest groups and affected governmental agencies
o Signs and/or message boards within the project corridor or limits
o Postings on a public or project website
o Newsletters (project, home owners association, community, etc.)
Newspaper notification must include:
o Date, time, place and type of meeting
o Description of project
o Statement that tentative Project schedules will be discussed
o Right of way relocation and assistance information
o Statement of opportunity for written and oral comments
o Statement of availability of project information 30 days prior to the hearing
and the availability of the environmental assessment (EA) or draft
Environmental Impact Study (DEIS) (if Federally funded) at specified
locations prior to the hearing. Environmental information is to include 106
and Agricultural Forestal District statements
o Availability of project materials (plans, brochure and environmental
documentation
o Non- discrimination clause (found in Chapter 17)
When an Environmental Assessment (EA) or Environmental Impact Statement
(EIS) is required, it must be available for comment a minimum of 15 days prior to
the public hearing and must be available for review at the public hearing.
Comments must be accepted for 15 days after the public hearing if it was
LAP Manual 12-44 December 2017 Project Development
available 15 days prior. EAs only need to be available for a total of 30 days for
public comment.
EISs have additional public notice requirements that are beyond the scope of
discussion of this manual. When an EIS is necessary, the LPA will be required to
enter into a separate memorandum of agreement (see Chapter 15.2.1), which
will include public involvement requirements.
General - Because of the unique nature of highway projects, particularly the use
of many visual aids, plans and charts, it is recommended that public participation
activities be undertaken at a facility that can accommodate public review of these
items.
To encourage input from all interested parties, public hearings and the facilities
where they are held must:
o be ADA compliant
o accommodate the hearing impaired
o accommodate the visually impaired
In addition, the following are required:
o Public Hearings be preceded by a period where the public can review project
documents
o Provide for the recording of and/or transcription of verbal comments
o Public hearings are to remain open for an additional 10 calendar days after
adjournment in order to receive written comments (Note: Comment for
environmental assessments must be accepted for a total of 30 days).
VDOT Responsibilities:
Project Coordinator will review notice of public hearing or notice of
willingness to hold public hearing for federally funded projects.
Project Coordinator will review Project Information Sheet and coordinate
reviews, as needed, by District Preliminary Engineer and Public Affairs.
LAP Manual 12-45 December 2017 Project Development
12.4.7 Transcript of Public Hearing
Whenever a public hearing is held, a record of the hearing must be prepared to
provide documentation of the proceeding. The Transcript must include:
A title page including project information
table of contents,
Hearing details (date, time and location)
Sign in sheet
Oral comments
Written comments
Any other documents submitted for the record
Copy of public notice and documentation of public notification
Brochure
Reproductions of any other displays from the hearing
Copies of the transcript must be forwarded to the VDOT Project Coordinator and for
review and transmittal to FHWA and the Commonwealth Transportation Board as
appropriate.
VDOT Responsibilities:
Project Coordinator will review transcript and will process for approval
according to the 2 Tiered Approach to Project Oversight.
12.4.8 Location and/or design approval for projects on which a hearing or
hearings are held
After study of the comments received from the public, environmental considerations,
costs, design standards and the evaluations of any studies completed as a result of
the public involvement procedures, the transcript will be compiled. The transcript will
be summarized and issues addressed by the LPA Project Manager to develop a
recommendation. This recommendation will be to be forwarded by the VDOT
Project Coordinator to the District Administrator’s Designee for distribution to the
LAP Manual 12-46 December 2017 Project Development
appropriate approving authority in accordance with VDOT’s Tier 1/Tier 2 approval
processes and VDOT’s Public Involvement Manual, Location and/or Design
Approval Process Flow Charts (pages 42 and 43 of 89).
The District Administrator’s Designee will distribute the transcript, proposed
responses and recommendations to the appropriate VDOT contacts and decision
makers who will coordinate location/design approvals as required by state and
federal law.
Once the recommendation is approved, the LPA is encouraged to advise those who
provided comments during the public hearing. This response should note any
changes in the proposal as presented at the public hearing and respond directly to
the individual’s comments or questions.
12.4.9 Location and/or design approval for projects with a posting of notice of
willingness to hold a hearing:
For projects on which the Notice of Willingness to hold a public hearing process is
sufficient to satisfy the public involvement requirements, final location/design
approval is coordinated by the VDOT Project Coordinator in accordance with
VDOT’s Public Involvement Manual, Location and/or Design Approval Process Flow
Charts (pages 42 and 43 of 89) and applicable state and federal laws.
Once the approvals are obtained, the locality is encouraged to advise those who
provided comments during the public hearing. This response should note any
changes in the proposal as presented at the public hearing and respond directly to
the individual’s comments or questions.
12.4.10 Tasks/ Submittals / File Documentation Task/Submittal / File Documentation
Locality Responsibility
VDOT PC Responsibility
Submittal Timing / Recordkeeping Requirements
Determination of public participation requirements
Prepare and submit to PC
Concur with locality decision
At Scoping
LAP Manual 12-47 December 2017 Project Development
Notice of Public Hearing in newspaper (2x) and posting
Post and send notice to PC
N/A
Not less than 30 days prior to PH approximately one week prior to PH
Notice of Willingness to Hold a Public Hearing in newspaper (2x) and other appropriate notifications
Post and send notice to PC
PC Reviews for completeness. Support is available from Public Affairs Office if needed.
Not less than 15 days prior to the expiration of willingness period and approximately one week prior to expiration date of willingness.
Draft of Project Information Sheet(s) Section 3.03 and Appendix A-1 of the Public Involvement Manual includes a listing of the suggested documents for Public Information session / Public Hearing.
Prepare and submit to PC
PC Reviews for completeness. Support is available from Public Affairs office if needed.
30 days prior to hearing
Draft Project Information Sheet(s)
N/A
Review and provide comments to locality. Support is available from Public Affairs office if needed.
10 business days
Final Project Information Sheet(s)
Prepare for public hearing
N/A 5 days prior to hearing
Conduct the Public Hearing - Section 3.05 and Appendix A-3 of the Public Involvement Manual provides guidance on holding a Public Hearing
N/A N/A
N/A
PH Transcript Appendix A-5 (Transcript Submission) of the Public Involvement Manual outlines the preparation of the Transcript
Prepare and submit to PC
Process in accordance with 2 Tiered Project Oversight process
Prepared and submitted to VDOT PC 15 days after close of written comment period; final comments provided to LPA within 15 days of their submittal
Location and/or design approval in accordance with Tier 1 / Tier 2 processes and VDOT’s Public Involvement Manual, Location and/or Design Approval Flow Charts.
N/A
CTB for location, Chief Engineer for design
45 days for CTB approval, 30 days for design approval
12.4.11 Regulatory References
23 CFR 771.111 (h)
23 CFR 771.119
§ 33.2-208 subsection B of the Code of Virginia
LAP Manual 12-48 December 2017 Project Development
23.128 §51.5-40 of the Code of Virginia
40 CFR 1500-1508 § 33.2-332 of the Code of Virginia
Executive Order 12898 - Environmental Justice
§ 33.2-333 of the Code of Virginia
24 VAC 30-380 (Virginia Administrative Code)
12.4.12 Miscellaneous References
VDOT Policy Manual for Public Participation in Transportation Projects
VDOT’s Public Involvement Manual defines how VDOT conducts the public
participation process on its projects and documents specific requirements for how
VDOT addresses FHWA’s public involvement regulations. This manual also
includes helpful information such as templates for hearing notices and project
information brochures and checklists for hearing activities. Accordingly, the LPA is
encouraged to use this manual as a reference.
http://www.virginiadot.org/business/resources/LocDes/Public_Involvement_Manual.p
df
VDOT CADD Manual
VDOT’s CADD manual includes many references for the production of Public
Hearing Displays. Localities and their consultants are encouraged to utilize these
guidelines and templates as they prepare for public hearings. These can be found in
in the VDOT CADD Manual, Appendix G
LAP Manual 12-49 December 2017 Project Development
Chapter 12.4 – Public Involvement Checklist These checklists can be found in their entirety in the VDOT online forms library
CH 12.4 - Public Involvement
This section outlines the processes and responsibilities associated with Public Information and Participation for federal-aid projects. The final outcome of this process is that all projects are developed in a manner that provides the general public with a well-publicized opportunity to both review and discuss proposed plans and potential impacts for the project.
SUBMIT COMPL F S-V S-L T-A UCI Requirement Reference LAP Other
X X X X** X Public Hearing Requirements determined at Scoping
12.1 12.4.1 12.4.3
23CFR771.111 23USC128
X X X X X Offer public involvement opportunities as directed by applicable code. Projects with a CE, PCE or BCE may not require public involvement opportunity.
12.4.2
If opportunity is offered, or a
public hearing is held:
X * * X X Project information documents & public notice prepared and submitted to PC for review by district PE manager, DCRO and Public Affairs
12.4.6 Public
Involvement Manual
X * * X X Notice of Public Hearing or Willingness Published 2x and submit
12.4.5 12.4.6
Public Involvement
Manual
X * * X*** X Public Hearing Transcript Prepared & Submitted (within 15 days of close of written comment period)
12.4.7
23CFR771.111 23USC128
X * * X Location and Design Approval 12.4.8 12.4.9
Public Involvement
Manual
* If determined by VDOT that a Willingness or Public Hearing is required, then this item is applicable
** Public involvement opportunity given during application process
*** If a second public hearing is held during the project development process
LAP Manual 12-50 December 2017 Project Development
12.5 PLAN SUBMITTALS
This chapter contains the following topics:
12.5.1 Introduction
12.5.2 Applicability
12.5.3 Sealing and Signing Requirements / Title Sheet Signatures
12.5.3.1 – Sealing and Signing Plans
12.5.3.2 – Title Sheet Signatures
12.5.4 Plan Reviews
12.5.5 Location and/or Design Approval
12.5.6 Right of Way Plan Approval
12.5.7 Advertisement Plan Approval Process
12.5.8 Tasks / Submittals / File Documentation
12.5.9 References
12.5.10 Regulatory References
Plan Submittals Checklist
Appendices
Appendix 12.5 - A – UCI Right of Way Phase Certification Form
Appendix 12.5 - B – UCI Construction Phase Certification Form
LAP Manual 12-51 December 2017 Project Development
12.5.1 Introduction
This chapter outlines the actions required for plan review, submittal, and approval.
The purpose of these reviews is to ensure that the plans have been developed in
accordance with the Plan Design section of this Guide and meet applicable federal
and state design guidelines. VDOT’s reviews will focus only on the
completeness, comprehensiveness, constructability and biddability of the
plans and must not be considered a quality control review. The LPA and its
responsible charge engineer are fully responsible and liable for the adequacy and
accuracy of the project design.
Generally, plans should be reviewed by VDOT prior to the Public Hearing, prior to
Right of Way Acquisition, and prior to Advertisement, or at approximately the 30
percent, 60 percent, and 90 percent plan development stages. The scope and
complexity of the project will determine VDOT’s oversight activities (see Chapter 13)
and the actual number of reviews and milestone meetings will vary. Three is the
typical number of plan reviews; however, there may be fewer, or more, as project
complexity and project risk necessitates. The LPA Project Manager and the VDOT
Project Coordinator will, together, make the final determination regarding the number
of reviews and milestone meetings during project scoping.
Special Program Requirements
Transportation Alternatives
TA projects should generally require only two plan reviews – one at 50% complete
and then a final review when plans are at 90% - 100% complete. In cases where the
project involves the construction of rehabilitation of a building, VDOT will rely on the
locality’s building official to provide a code compliance review and issue any required
building permits. Certification of this will be required at the PS&E stage. VDOT
does not review building plans except in cases where the structure will be on State-
owned property. If the building plans include site improvements, such as parking
lots, walkways, lighting or landscaping, VDOT will require a plan review for the site
improvements. Note: The Virginia Department of Historic Resources must review
LAP Manual 12-52 December 2017 Project Development
building plans for historic structures or structures within a historic district. Those
reviews must be made in conformance with Chapter 15.4 of this Manual.
Urban Construction Initiative
The municipality must design a project so that it meets minimum American Association of State
Highway and Transportation Officials (AASHTO) standards. A municipality may have different
standards and specifications that meet or exceed AASHTO standards, but these need to be reviewed
and approved by VDOT and FHWA before they are authorized for usage. The municipality must
ensure that design flexibility does not jeopardize safety and mobility.
Projects will be evaluated utilizing the Risk Based Assessment process provided in
LAP Manual Appendix 9C and Appendix 13.1-B to determine the appropriate level of
plan review and oversight required. Utilization of the Risk Based Assessment Form
will provide project documentation on the oversight level of the plan reviews as
determined.
All reviews will focus on relative completeness of the plans, comprehensiveness,
constructability, and adherence to sound engineering practice and principles and will
not focus on format, packaging, etc. VDOT will not be looking at "format" issues, per
se, but what makes the plans have value for subsequently advertising and
constructing the project. For project reviews, the locality should submit to VDOT a
copy of the road and bridge plans in an single page electronic format (tag image
files-".tif") to facilitate the review process.
12.5.2 Applicability
Applicable on all projects utilizing federal funds, projects developed to qualify for
federal aid, and state funded projects on the VDOT maintained system.
Plan Submittals
Federal-aid State-aid / VDOT
Maintained
State-aid / LPA Maintained
X X N/A
LAP Manual 12-53 December 2017 Project Development
12.5.3 Sealing and Signing Requirements / Title Sheet Signatures
12.5.3.1 Sealing and Signing Plans
LPA’s are required to meet Virginia Department of Professional and Occupational
Regulation (DPOR) requirements for the sealing and signing of plans by a
Professional Engineer, Landscape Architect or Land Surveyor licensed to practice in
the Commonwealth of Virginia. For reference, VDOT has internal process
documents which outline the requirements for sealing and signing plans and
documents for VDOT administered projects in IIM-LD-243.10.
When submitting for final approvals of federal phase authorizations for Right-of-Way
and Advertisement, the title sheet must also be signed by the appropriate
responsible officials, in accordance with local government procedures. However, at
a minimum, the Director of Public Works or other locality department director with
the most direct supervision over the project must sign the title sheet. The local
government signatures certify that the plans are complete, constructible, and
biddable (ready for contract advertisement), that the necessary right-of-way has
been addressed and accounted for, and that adequate funding has been identified to
complete the project. The LPA is also certifying, by the signatures, that the plans
were prepared by staff or consultants that exercised the appropriate standard of care
and followed accepted standards, procedures, policies, methods of practice, etc.,
that are consistent with the engineering and design of plans for such work.
12.5.3.2 Title Sheet Signatures
VDOT has an internal process which outlines the requirement for title sheet
signature for VDOT administered projects as referenced in IIM-LD-204. VDOT has
prepared signature blocks for Title sheets for locally administered Federal-aid, State-
aid, and Design-Build / PPTA Projects. Links to samples for each of these are
located in section 12.2.5.1, Local Governments must utilize these digital versions.
Title sheets can be downloaded through VDOT’s CADD Manual web site at:
LAP Manual 12-54 December 2017 Project Development
http://www.virginiadot.org/business/locdes/vdot_cadd_manual.asp
Federal-aid, and Design Build title sheets must be signed by the Locality and VDOT;
while State-aid title sheets require only locality signatures.
Special Program Requirements
Transportation Alternatives
Transportation Alternatives / Enhancement projects do NOT require VDOT
signatures on Title Sheets.
Urban Construction Initiative
UCI projects do NOT require VDOT signatures on Title Sheets.
12.5.4 Plan Reviews
At the project milestones requiring reviews by VDOT as mentioned in
Section 12.5.1, the LPA Project Manager will submit a copy of the roadway
and bridge plans in single page PDF format to the VDOT Project
Coordinator to be placed in Falcon and linked to iPM.
12.5.5 Location and/or Design Approval
Location and/or Design Approval shall be obtained in accordance with VDOT’s
Public Involvement Manual, Location and/or Design Approval Process Flow Chart
(pages 42 & 43 of 89).
12.5.6 Right of Way Plan Approval
Prior to Right of Way acquisition, the LPA Project Manager will submit a right of way
plan package, which includes a current estimate, to the VDOT Project Coordinator to
be processed for approval. The submittal will include the Right of Way data sheet,
Right of Way plan sheets and the original Project Title Sheet for Right of Way
LAP Manual 12-55 December 2017 Project Development
Authorization signed by the person of responsible charge from the locality. By its
signature, the LPA is certifying that the plans are complete and accurate for the
acquisition of right of way and the relocation of utilities.
The LPA Project Manager will also submit the PM130 and the Right of Way and
Utilities Plan Review Checklist (RW-301) to the VDOT Project Coordinator with the
submittal. Detailed discussion of the Right of Way Plan approval and authorization
process can be found in Chapter 16.
It is imperative that the LPA NOT incur any land acquisition or utility relocation
expenses until federal authorization and VDOT Notice to Proceed with
acquisitions are approved, as costs incurred prior to federal authorization
SHALL NOT be reimbursed and will be the responsibility of the locality.
Please note, if the locality incurs any such expenses prior to federal
authorization, they risk loss of federal participation on the project.
VDOT has internal process documents which outline the submission and review
process for Right of Way Plans for VDOT administered projects. LPAs may utilize
these as a reference.
http://www.extranet.vdot.state.va.us/locdes/electronic_pubs/iim/IIM234.pdf
VDOT Responsibilities:
The VDOT Project Coordinator will verify that the LPA has utilized
the latest version of the appropriate title sheet. If not, the LPA will
be required to submit the correct version.
Circulate the title sheet for signatures (the title sheet can be on
paper or mylar) and submit the original signed title sheet to Room
705, CO L&D Plan Library/Room 1005, CO S&B Plan File Room to
be filed.
The VDOT Project Coordinator will coordinate the submission of
the PM130 and RW-301/EQ-201forms to the District R/W manager.
The VDOT Project Coordinator will prepare and submit the LD-368 form
after review of the LPA’s Right-of-Way plans.
LAP Manual 12-56 December 2017 Project Development
Additional discussion on the Environmental approval process is
contained in Chapter 15.
Normally it takes a minimum of 30 business days, from receipt of a
complete package, to obtain authorization to proceed with Right of Way.
When this authorization is issued, the locality will be notified by the VDOT
Project Coordinator that it may begin negotiations/acquisition. This
authorization will usually occur within the 60-90 day window for VDOT
review of the complete package. LPAs are encouraged to submit
complete right of way packages as early as practicable to ensure
scheduled phase dates are met.
Special Program Requirements
Urban Construction Initiative
When the municipality is ready to initiate the right-of-way phase for a federal project,
a request must be submitted to VDOT’s Project Coordinator. The Municipality shall
submit a Project Certification for Right of Way and include copies of the final right-of-
way plans including a signed Title Sheet, the information necessary for VDOT (see
PM-130) to complete the environmental re-evaluation, a cost estimate, and the cost
for utilities, broken down by utility company for cost accounting purposes. VDOT’s
Project Coordinator will then initiate the R/W evaluation process. Normally, this
authorization will take fifteen (15) business days. For federal projects, it is important for the
municipality not to incur any right-of-way expenses until federal authorization is received. Also, if
additional funds are needed, other than those shown in the SYIP, a source for these funds is to be
identified by the municipality. Please note that if the municipality incurs R/W expense prior to FHWA
authorization they risk loss of federal participation in the project.
With the Municipality’s request for Right of Way Authorization, attach a completed
Right of Way Phase Project Certification letter as illustrated in Appendix 12.5A.
The Right of Way and Utilities Division's Project Scheduling and Certification
Section will enter the information into the Right of Way and Utilities
Management System (RUMS). The VDOT Project Coordinator will notify the
locality once authorization is received.
LAP Manual 12-57 December 2017 Project Development
12.5.7 Advertisement Plan Approval Process
When plans are ready for advertisement for construction, the LPA Project Manager
will provide a PS&E submittal package to the VDOT Project Coordinator for
construction authorization.
The submittal will include the original Title Sheet for Authorization to Advertise
signed by the person of responsible charge from the LPA and signed and sealed by
the Responsible Person (Licensed Professional Engineer, Certified Landscape
Architect or Licensed Land Surveyor) in accordance with DPOR. By signature, the
locality is certifying that the plans were prepared by staff or consultants that
exercised the appropriate standard of care and followed accepted standards,
policies, procedures, methods of practice, etc., that are consistent with the
engineering and design of plans for such work and all plan review comments have
been addressed.
Once the project design has been completed and approved to advertise, the
LPA Project Manager shall provide the VDOT Project Coordinator with a CD of
the complete plan assembly in single page PDF format to be stored in the
VDOT Plan File Library.
The LPA must receive an Advertisement Authorization prior to advertisement
or the project may become ineligible for reimbursement. A separate
Authorization to Award the contract and begin construction is also required
and will be provided after bids are received, tabulated and submitted to VDOT
as addressed under the Authorization and Award section of this Guide.
VDOT Responsibilities:
Circulate the title sheet for signatures (the title sheet can be on
paper or mylar) and submit the original signed title sheet to Room
705, CO L&D Plan Library/Room 1005, CO S&B Plan File Room to
be filed.
LAP Manual 12-58 December 2017 Project Development
The VDOT Project Coordinator will coordinate the submission and
provide a PM-130 form to the District Environmental Manager for
environmental reviews and certification. The VDOT Project
Coordinator will also coordinate review of the bid documents as
outlined in the Advertisement and Award Chapter (Ch 12.6).
Additional discussion on the Environmental approval process is
contained in Chapter 15.
Normally it takes 30 business days, from receipt of a complete
package, to obtain federal authorization to advertise a project.
When this authorization is received from FHWA, the LPA will be
notified by the VDOT Project Coordinator in writing. This
authorization will usually occur within the 60-90 day window for
VDOT review of the complete package.
Special Program Requirements
Urban Construction Initiative
When a federal project is ready to be advertised for construction, the
municipality must first receive the project advertisement authorization from
the FHWA. The Project Certification for Construction Letter as provided in
Appendix 12.5B addresses the information that the municipality must submit
to VDOT’s Project Coordinator. The municipality must also submit the project
Title Sheet signed by an officer of responsible charge for the locality; and
signed and sealed by a Professional Engineer in accordance with Department
of Professional and Occupational Regulation. If additional funds are needed
beyond those shown in the Six Year Improvement Program (SYIP), a source
needs to be identified. Normally it takes thirty (30) business days to obtain
federal approval for a project's advertisement. For federal projects, it is
important for the municipality not to advertise the project until authorization is
received. The municipality will be notified by VDOT once this authorization is
received.
12.5.8 Key Submittals / Requirements
LAP Manual 12-59 December 2017 Project Development
Task/Submittal /
File Documentation
Locality Responsibility
VDOT PC Responsibility
Submittal Timing / Recordkeeping Requirements
Plan Reviews Submit plans for review
Coordinate VDOT Reviews of plans – focused on constructability and bidability
Based on the schedule agreed upon by the Local PM & VDOT PC
Right of Way Plan Approval
Submit PM130, RW-301 and RW plans for approval/authorization package to the VDOT PC
Process VDOT reviews and approvals of plans and, prepare and submit LD-368 and secure RW authorization
60-90 days before initiation of RW phase
Construction Plan Approval
Submit CN plans for approval/authorization package to the VDOT PC
Process VDOT reviews and approvals of plans and secure CN authorization
60-90 days prior to advertisement
12.5.9 References
Location & Design Instructional & Information Memoranda
http://www.virginiadot.org/business/locdes/rd-ii-memoranda-
index.asp
Location & Design Forms
http://vdotforms.vdot.virginia.gov/
http://vdotforms.vdot.virginia.gov/SearchResults.aspx?lngDivisionID=14
Environmental Forms
http://vdotforms.vdot.virginia.gov/
Right of Way Forms
http://vdotforms.vdot.virginia.gov/
12.5.10 Regulatory References
VDOT/FHWA Virginia Division Stewardship Oversight Agreement, June 2015
23 CFR 635 Construction and Maintenance
23 CFR 771 Environmental Impact and Related Procedures
23 CFR 771.129 (c) Environmental Re-evaluation at Right of Way Authorization
23 CFR 645 Utility Relocations, Adjustments and Reimbursement
DPOR §54.1-400 (Sealing & Signing of Plans)
LAP Manual 12-60 December 2017 Project Development
Chapter 12.5 – Plan Submittals Checklist These checklists can be found in their entirety in the VDOT online forms library
CH 12.5 - Plan Submittals
This section outlines the actions necessary for plan review, submittal and approval. The purpose of these reviews is to ensure that the plans have been developed in accordance with the Plan Design section of this Guide and meet applicable federal and state design guidelines. The LPA and its responsible charge engineer are fully responsible and liable for the adequacy and accuracy of the project design.
SUBMIT COMPL F S-V S-L T-A UCI Requirement Reference LAP Other
X X -- X X 30/60/90 percent Plan Submittal
1
(TA projects are reviewed at 50 & 90-100 percent)
12.5.1 12.5.4
X X -- -- -- Title sheets prepared Use VDOT title sheet templates
12.2 12.5.3
Templates in VDOT CADD Cell
Library
X X X X X Plans & Title Sheets Signed
& Sealed 12.5.3 DPOR
Regulations
X X -- X X* R/W Plan Review Approval2 12.5.6
16 23CFR771.129
X X -- X X PM 130 RW review & Env. Re-evaluation
X X -- X X RW 301
X X -- X X EQ201, EQ-200, EQ-103
X -- -- X X RR Agreement developed if RR property involved
23CFR635.214(b)
635.216(d)
X X -- X X* Submit PSE package for approval / authorization
12.5.7 23CFR771.129 (c)
1 As determined by Project Complexity / Risk
2 R/W Certification Approval is only required for federal-aid projects and when underlying fee ownership of
R/W will be transferred to VDOT. Otherwise R/W Plan Review will be performed only ensure that appropriate R/W is acquired to meet future highway maintenance needs
X*
Certification letter required from UCI locality
LAP Manual 12.5 – A-1 December 2017 Project Development
Appendix 12.5A
UCI Right of Way Phase Certification Form
LAP Manual 12.5 – A-2 December 2017 Project Development
CITY LETTERHEAD
Date:
District Administrator:
Attn: Project Coordinator
District Address:
Project Street Name
Project Number
Project UPC Number
From:
To:
Subject: Project Certification - Right of Way Phase
Dear District Administrator:
This project consists of: (complete description from beginning to end of the location and the
type of project, i.e. relocation of families and businesses, curb and gutter, intersection
improvement, etc).
Reference is made to the agreement between the City of _________________________ and
the Virginia Department of Transportation (VDOT) dated ____________________.
This project has been developed in accordance with all applicable Federal and State laws,
regulations and in accordance with the VDOT’s Urban Construction Initiative Program
Administration Guide.
The project development has been in accordance with the National Environmental Policy Act
(NEPA).
Additionally, the project was developed in accordance with Federal and State laws and
regulations governing public involvement. A Public Hearing was held on ___________.
The hearing location and date were properly advertised and posted, plans were available for
review and comment, the NEPA document was available for review, a comment procedure
was provided and all comments have been given due consideration.
Or
A Notice of Willingness was posted and expired on _______________. The Notice of
Willingness was properly advertised and posted including the procedure for requesting a
public hearing, plans were available for review and comment, and the NEPA document was
available for review.
LAP Manual 12.5 – A-3 December 2017 Project Development
This Project has been designed in accordance with AASHTO Design Criteria utilizing
current engineering practice, methodology and process suitable for the project scope and
complexity. A Quality Assurance and Quality Control Review has been completed for this
phase of project development.
All required checklist have been previously submitted or are attached hereto.
I certify that the above is accurate and correct and reflects the project development process
and documents on file which are available for review upon request.
Further, I approve the design features of this project for the City or Town of __________ and
request VDOT to provide design approval and authorization to proceed with the acquisition
of right of way.
____________________________________ ___________________
City Manager or Director of Public Works Date
or City Engineer
cc: Urban Program Manager
VDOT Project Coordinator
Attachments: EQ-121 Hazardous Materials Due Diligence Document
Project Title Sheet (signed by a Municipality Official in
responsible charge of the work)
VDOT Project Coordinator Copy List:
Local Assistance Division Director
Programming Davison Director
State Location and Design Engineer
State Right of Way and Utilities Director
State Environmental Director
State Structure and Bridge Engineer (when appropriate)
State Construction Engineer
District Construction Engineer
District Preliminary Engineering Manager
District Right of Way Manager
District Environmental Manager
District Structure and Bridge Engineer (when appropriate)
Central Office Plan Coordination Section
LAP Manual 12.5 – B-1 December 2017 Project Development
Appendix 12.5B
UCI Construction Phase Certification Form
LAP Manual 12.5 – B-2 December 2017 Project Development
CITY LETTERHEAD
Date:
District Administrator:
Attn: Project Coordinator
District Address:
Project Street Name
Project Number
Project UPC Number
From:
To:
Subject: Project Certification - Construction Phase
Dear District Administrator:
This project consists of: (complete description from beginning to end of the location and the
type of project, i.e. relocation of families and businesses, curb and gutter, intersection
improvement, etc).
Reference is made to the agreement between the City of ____________________ and the
Virginia Department of Transportation (VDOT) dated ____________________.
This project has been developed in accordance with all applicable Federal and State laws,
regulations and in accordance with the Urban Construction Initiative Program Administration
Guide.
In accordance with State and Federal Code, all necessary rights of way have been acquired or
legal right of entry onto each parcel has been obtained for the advertisement and construction
of this project. Also, all affected utilities have been relocated or they are included as in-plan
work to be performed by the project construction contractor. (If Federal Funds participated
in this project, reference to FHWA requirements should also be included.) To the best of our
knowledge, there are no contaminants contained within the soil on the property purchased.
The project development has been completed in accordance with the National Environmental
Policy Act (NEPA). An approved environmental document has been prepared and all
identified environmental commitments have been included in the plans and proposal. A
completed Environmental Certification/Commitments Checklist (EQ-103) is attached. All
applicable construction permits have been obtained.
Additionally, the project was developed in accordance with Federal and State laws and
regulations governing public involvement. A Public Hearing was held on __________ and
Design approval was provided on ____________. Or A Notice of Willingness was posted
and expired on ___________, and Design approval was provided on __________.
LAP Manual 12.5 – B-3 December 2017 Project Development
Also, this Project has been designed in accordance with AASHTO Design Criteria utilizing
current engineering practice, methodology and process suitable for the project scope and
complexity. If necessary, Design Exception(s) or Waiver(s) have been obtained and
identified on the Title Sheet for the project. A Quality Assurance and Quality Control
Review has been completed for each phase of project development.
All required checklist have been previously submitted or are attached hereto.
Attached are copies of the project plans, a current engineer’s estimate and the City’s
proposed advertisement for construction package. If Federal Funds are involved, include the
statement “The advertisement package includes all appropriate federal aid project
information including Minimum Wage rates and EEO provisions.”
I certify that the above is accurate and correct and reflects the project development process
and documents on file which are available for review upon request.
____________________________________ ___________________
City Manager or Director of Public Works Date
or City Engineer
cc: Urban Program Manager
VDOT Project Coordinator
Attachments: EQ-103 Environmental Certification/Commitments Checklist
Project Title Sheet (signed and sealed by a professional engineer in
responsible charge of the work who shall be duly registered
to practice engineering in the Commonwealth of Virginia.
Project Plans
Engineer’s Estimate
Advertisement for Construction Package
VDOT Project Coordinator Copy List
Local Assistance Division Director
Programming Division Director
State Location and Design Engineer
State Right of Way and Utilities Director
State Environmental Director
State Structure and Bridge Engineer (when appropriate)
State Construction Engineer
District Construction Engineer
District PE Manager
District Right of Way Manager
District Environmental Manager
District Structure and Bridge Engineer (when appropriate)
Urban Program Manager
Central Office Plan Coordination Section
LAP Manual December 2017 Project Development
Auth to Award 45 to 60 Days
12.6 ADVERTISEMENT AND AWARD
30 to 60 Days Auth to ADV 60 to 90 Days
RO
W
Civ
il R
igh
ts
Con
str
uctio
n
IID
/ F
PM
D
Pro
ject
Co
ord
ina
tor
En
vir
on
men
tal
LPA submits PS
& E Package
12.6.7
Comments to LPA
Project Coordinator
Requests PS & E Review 12.6.7
Project ADV 21 Days Minimum
12.6.8
Goal Setting / DBE
Requirements 12.6.5 17.3
Construction
Review
Bids reviewed / tabulated /
Request to Award 12.6.9
Project Coordinator
Review / Submit Request to Award
Review for DBE
Goal Conformance
Concurrence to Award for FO
projects
Bid Review /
Concurrence to Award
Revise Project Agreement (if
necessary)
Project Coordinator
Receives Concurrence to
Award
LPA Awards
Funding
Verification for Award
Concurrence to
Award Notification Prepared
Funding Verification / auth
to ADV. Fed Authorization
NE
PA
Re
-ev
al
Co
mp
lete
En
v C
ert
Co
mp
lete
RO
W C
ert
Co
mp
lete
LP
A P
rep
are
s
IFB
12
.6.3
LAP Manual 12-61 December 2017 Project Development
CHAPTER 12.6 - ADVERTISEMENT AND AWARD
12.6.1 Introduction
12.6.2 Applicability
12.6.3 Development of the IFB
12.6.4 Bid Proposal and Contract Requirements
12.6.4.1 Sole Source and Proprietary Items
12.6.4.2 Retainage
12.6.4.3 Liquidated Damages
12.6.4.4 Incentives and Disincentives
12.6.5 Mandatory Federal Aid Provisions
12.6.6 Other Federal aid requirements
12.6.7 Plans Specifications and Estimates Submittal Package
12.6.8 Advertisement
12.6.9 Project Award
12.6.9.1 Bid Opening and Analysis
12.6.9.2 Submittal of the Award Package
12.6.9.3 VDOT Concurrence to Award
12.6.9.4 Dashboard
12.6.10 Local Force Construction
12.6.11 Key Submittals / Requirements
12.6.12 References
Appendices
Appendix 12.6-A – Advertisement and Award Submittals Checklist
Appendix 12.6-B – Locality/VDOT Certification of Documents
Appendix 12.6-C – Advertisement and Award Checklist
LAP Manual 12-62 December 2017 Project Development
12.6.1 Introduction
This chapter outlines the requirements associated with advertisement and award of
federal-aid projects. State-aid projects, included in the SYIP or the SSYP, must receive
concurrence to award and submit a Project Award Submittal Package to the Project
Coordinator prior to contract letting.
It is not acceptable to use contracting methods such as alternate bids,
speculative amounts, change orders, etc., as a replacement for complete
and thorough design/investigations during project development.
12.6.2 Applicability
All federal-aid projects and projects developed to qualify for federal-aid.
*State-aid projects funded with formula allocations must receive funding verification
and authorization from VDOT prior to award. A Project Award submittal package
must be submitted to the VDOT Project Coordinator. This package must also
include a completed Appendix 5-A Certification Form for State Funded Projects.
Advertisement & Award
Federal-aid State-aid / VDOT Maintained
State-aid / LPA Maintained
X * *
*Note exemption in section 12.6.4.2 regarding Retainage
Special Program Requirements are noted at the end of each section.
12.6.3 Development of Invitation for Bid / Contract Documents
The LPA is responsible for preparing the bid package which contains the plans,
addenda, special provisions, supplemental specifications, and the bid proposal. When
LAP Manual 12-63 December 2017 Project Development
using federal-aid, LPAs must comply with 23 CFR 635 which describe federal
regulations governing construction contracts. Exceptions to these requirements are
provided for some off-right of way projects (see Chapter 5 for additional discussion).
Lump Sum Contracts
Lump sum contracts are allowable by both federal and state laws. However, significant
deliberation should be made between the LPA Project Manager and the VDOT Project
Coordinator before determining that a lump sum contract is in the LPAs best interest
and will be pursued. This determination should be made early in the design process.
Lump sum contracts generally should be limited to “simple” projects that have a low risk
of unforeseen conditions and low possibility of changes. Regardless, contracts must
also account for the possibility of contract modifications and include language regarding
how potential change orders will be addressed. Payments for lump sum contracts must
be made based on a pre-determined and agreed-upon pay-out schedule, which must be
included in the final contract.
Lump sum payments must be based on estimated project completion,
deliverables, major work items, and/or milestones. Payments based
solely on contract time are not allowable.
When lump sum contracts are the chosen delivery method on a federal-aid project,
frequent consultation with the VDOT Project Coordinator throughout the project
development process is necessary.
12.6.4 Bid Proposal and Contract Requirements:
The bid proposal and contract must contain the following elements:
Instructions to Bidders
General Contract Provisions
Proposal / Agreement forms / Terms of the Contract
Schedule of Bid Items, Fuel Adjustment, Steel Adjustments, etc.
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Reference to VDOT specifications including any modifications to VDOT
specifications or local specifications being used (note: additional time for review of
these may be necessary)
Addenda Sheet(s)
Subcontractor Solicitations
Permits and Permit Requirements
LPA’s are reminded that Invitations for Bids (IFB’s) must NOT contain any negotiation
clause(s) or any reference to a locality policy that provides for contract negotiation. Bid
negotiation is strictly prohibited as set forth in 23 CFR 635.113.
In addition, IFB’s must NOT contain any reference to the withholding of retainage as
described in section 12.6.4.2.
12.6.4.1 Sole Source and Proprietary Items:
The use of sole source and proprietary items should be avoided except when there is
no other feasible or reasonable alternative. Special approvals are necessary to include
these types of items in a contract. There is often confusion on the definition and
differences between sole source and proprietary; this is clarified below.
• Sole Source Items
A Sole Source Item is any product or service used on a project where the product may
be procured from only one source, and therefore has no price competition. This is a
very rare situation and state procurement regulations require VDOT approval to utilize a
sole source item. Federally funded projects require FHWA approval.
• Proprietary Items
A Proprietary Item is a product, specification or process identified in the plans or
specifications as a "brand" or trade name (e.g. 3M, Corten). However, it may also be a
product so narrowly specified that only a single manufacturer can meet the
LAP Manual 12-65 December 2017 Project Development
specification. Proprietary Items are different from a sole source in that it is a specific
product typically available from only one manufacturer; however, it is sold by various
vendors.
The detailed procedures, processes and the required documentation for approval for the
use of proprietary items is defined in VDOT’s Construction Division Instructional and
Informational Memorandum, IIM-CD-2015-01.01 as approved on April 6, 2015.
Additional discussion on the use of Sole Source and Proprietary Items can be found in
section 3.9.5 of VDOT’s Urban Manual. Additional FHWA guidance can be found on the
FHWA FAQ page.
12.6.4.2 Retainage:
The withholding of retainage is not allowed on federal or state funded projects except
under very specific circumstances. Retainage will be allowed if the contractor’s
progress or performance has been identified as unsatisfactory as described in VDOT’s
Specifications or the LPA contract. This is considered to be withholding retainage for
cause. When it has been determined that the contractor’s progress or performance is
satisfactory once again, any previously withheld retainage must be released. The
withholding of retainage without cause is strictly prohibited unless a process for
incremental acceptances is identified in the IFB as set forth in 49 CFR 26.29(b)(3).
Therefore, IFB’s must NOT contain any reference to the withholding of retainage without
cause unless the incremental acceptance method is utilized. This does not preclude the
LPA from withholding payment for unsatisfactory or incomplete work, failure to provide
proper documentation (example: Buy America), and failure to provide required
submittals and schedule, if any.
12.6.4.3 Liquidated Damages:
Liquidated Damages allow LPAs to recover an agreed amount for their contract
administration costs and other damages that likely will be incurred by the LPA each day
the project is not completed beyond the contract fixed completion date. Standard rates
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for Liquidated Damages are available in the VDOT Road and Bridge Specification
Section 108.06 (b). These rates may be modified to meet project specific conditions.
Justification should be provided and must include a calculation that clearly identifies the
daily costs that the LPA likely will incur if the project is delayed, such as:
Direct labor (Inspectors, Construction Managers, Area Construction Engineers,
etc.), and
Non-salary direct costs (vehicles, fuel, computers, communication devices, etc.)
If the standard rates are not used, the project specific Liquidated Damages must be
included in the contract.
12.6.4.4 Incentives and Disincentives:
Incentives and disincentives encourage contractors to complete a project or phases of a
project, ahead of schedule to reduce impacts to the traveling public. Incentive amounts
should be calculated to include:
Contractor’s daily acceleration costs
LPA’s daily administration costs
Road user costs
Disincentive amounts are not penalties and should only be applied on projects that offer
incentives. The disincentive should be calculated to include:
LPA’s daily administration costs
Road user costs
The maximum incentive value of a project typically approaches 5% of the estimated
contract value. If a disincentive is utilized, the maximum value of disincentive should not
exceed the value of the incentive.
Supporting documentation detailing incentive and disincentive calculations must be
maintained by the LPA. The LPA’s daily administration costs may be calculated in a
similar fashion as the method used for Liquidated Damages. Road user costs must be
determined using a federally approved method for calculating impacts to the traveling
public. Consult with your VDOT Project Coordinator for additional guidance. FHWA
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Technical Advisory T 5080.10 also provides additional guidance for the development
and implementation of incentives and disincentives using contractor daily acceleration
costs.
Since disincentives include the LPA’s daily administration costs, it is important that
disincentives and Liquidated Damages never be applied concurrently. The contract
must be written so that Liquidated Damages can only be assessed once the contract
completion date has passed and the disincentive amount is no longer being applied.
Additionally, if multiple disincentives are set forth in the contract (i.e., disincentives
associated with multiple contract milestones and/or the contract completion date),
disincentive charges are only to be assessed for the corresponding milestone not yet
achieved. At no time shall more than one disincentive charge be assessed.
12.6.5 Mandatory Federal-aid Provisions:
Mandatory federal-aid provisions are listed and can be obtained from VDOT’s Web site
at: PDF version / Word version. The FHWA Form 1273 must be included in the
contract verbatim. No modifications are allowed. A detailed discussion of all mandatory
federal-aid contract provisions can also be found in the FHWA Contract Administration
Core Curriculum Participants Manual and Reference Guide.
In addition to those mandatory federal-aid provisions, the LPA must include the
following in their construction contracts:
Language to address any conflict between state or local contract language and
federal rules. When conflicts arise, the federal-aid or most conservative approach
must be taken. For off-system (off right of way) projects, State procurement laws
and regulations may apply (See Chapter 5 for further details).
Language to address or a reference to a contractor claims process.
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DBE language is required in all federal-aid contracts. VDOT will review and
potentially establish a DBE goal, on all federal-aid projects, with a construction value
over $100,000. The goal will be determined based on available DBEs in the project
area and on contract items amendable to work performed by those DBEs. NOTE:
a SWAM vendor may not necessarily also be a DBE contractor or meet the
requirements as a DBE contractor.
Mandatory Construction and Civil Rights forms and language that must be included
in each federal-aid contract are listed below:
o C-104 (Bidder Statement)
o C-105 (Bidder Certification)
o C-111 (Minimum DBE Requirements)
o C-112 (Certification of Binding Agreement)
o C-48 (DBE- Subcontractor/Supplier Solicitation and Utilization)
o C-49 (DBE- Good Faith Efforts Documentation)
Special Program Requirements
Urban Construction Initiative
A standardized construction contract bid document template was created for UCI
localities to use to meet federal/state requirements. That template can be found labeled
‘Standard Construction Contract Bid Document – Template’ at the following website:
http://www.virginiadot.org/business/local-assistance-firstCities.asp
12.6.6 Other federal-aid requirements
For traditional highway construction federal-aid projects, local
governments, with the exception of TA projects and UCI Municipalities,
must use VDOT Pre-qualified contractors.
Vendors who are, at the time of the bid opening, debarred from federal-aid work, are
not eligible for federal-aid projects.
LPAs may be required to accommodate an OJT program for project. This will be
determined by the VDOT Civil Rights Division during DBE goal-setting review.
LAP Manual 12-69 December 2017 Project Development
For federal-aid projects or for projects that will be maintained by VDOT, the LPA
shall submit a materials quality assurance plan (QAP) for review and approval, prior
to construction. It is recommended that QAPs be submitted prior to project
advertisement to prevent project delays. For additional information refer to Chapter
13.1.5.3.
12.6.7 PLANS, SPECIFICATIONS, AND ESTIMATES SUBMITTAL PACKAGE
Prior to the locality’s request for federal authorization to advertise, the following items
must be completed:
Right of Way Certification as outlined in Chapter 16 of this Manual is required for
federal-aid projects. Local governments certify their compliance with other right
of way acquisition requirements for non federal-aid projects.
Environmental Re-evaluation at PS&E, for federal-aid projects (see Chapter
15.11)
Environmental Certification, for federal-aid projects. For non federal-aid projects,
LPAs will certify their compliance with applicable environmental laws and
regulations (see Chapter 5).
When a federal or state-aid project (see Chapter 5 for exceptions) is ready to be
advertised for construction, the project must first receive an advertisement
authorization.
Failure to obtain federal authorization to advertise for construction will
jeopardize federal funding to the project. It is important for LPA’s to
ensure that this authorization has been obtained prior to advertisement.
Proceeding with advertisement without federal authorization will jeopardize
reimbursement of federal aid.
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To obtain this authorization, the LPA must submit a PS&E Submittal Package
to VDOT’s Project Coordinator. This submittal package will include the
following items:
(1) PS & E Submittal Form. This form will state that items #2 through #8, below
are being submitted and must be signed by the local official responsible for the
project. Item #9 is specific to SMART Scale funded projects and likewise must
be signed by the responsible local official when applicable.
(2) A current engineer’s estimate
(3) Final Invitation for Bid and Contract Documents – 2 sets
(4) Complete sets of plans
(5) Signed Title Sheet, containing appropriate VDOT signature blocks (separate
VDOT signature blocks are required for Tier 1 and Tier 2 projects).
(6) Locality/VDOT Certification of Documents. All boxes must be checked except
for those items that may not be applicable and have an “N/A” box. By completing
this form the LPA is certifying that the items listed on the form (required to obtain
Federal Authorization to Advertise the project) have been completed, checked
and the Proposal & Plans have been prepared in accordance with the standards
and requirements included in the LAP Manual (Appendix 12.6-B).
(7) If additional funds are needed than those shown in the SYIP or SSYP, a
source needs to be identified and the Project Administration Agreement must be
modified.
(8) Evidence that a willingness to hold a public hearing was posted or evidence
of having held a public hearing or that a decision that a willingness was not
necessary was made during scoping (See CH 12.4.5).
(9) For SMART Scale funded projects, the plan submission will include a
certification statement that indicates either of the following statements:
o No changes or additions in scope have been made since the
application for SMART Scale funds was submitted that will impact the
project benefit regardless of impact to budget.
<OR>
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o Scoping changes did occur and the project was re-evaluated and re-
scored if necessary.
If project plans are revised after authorization to advertise was issued,
the LPA must re-submit plans for review in accordance with Chapter
12.5. A replacement signed Title Sheet must also be submitted to the
VDOT Project Coordinator who will then forward it to the VDOT Plan Coordination
section with a request to obtain appropriate signatures.
VDOT Responsibilities (reviews or approvals at Central Office apply only
to Tier 2 projects)
The VDOT Project Coordinator will conduct an extensive review the
locality’s PS&E Package submittal, and request any additional
information from the LPA prior to forwarding to the Central Office Plan
Coordination Section.
Review and include in the PS&E package the Locality/VDOT
Certification of Documents form.
Complete and sign the VDOT District Certification section of the
Locality/VDOT Certification of Documents
For all federal oversight and non-federal oversight projects, review and
submit the PS&E package and signed Locality/VDOT Certification of
Documents. District staff will review the PS&E package and obtain
required District Title Sheet signatures prior to submission to
Construction Division, for Tier 1 projects. For Tier 2 projects, the
Project Coordinator will submit the completed PS & E Submittal Form
and LPA-signed title sheet to the L&D Plan Coordination section with a
request to obtain appropriate VDOT Central Office signatures.
Review and include in the PS&E submittal package the Locality/VDOT
Certification of Documents form.
The Project Coordinator will submit one copy of the IFB and a full set
of plans to the locally administered projects federal submissions officer
LAP Manual 12-72 December 2017 Project Development
(Construction Division). For Tier 1 projects, include the LPA and
District-signed Title Sheet.
Submit one copy of the IFB to the District Civil Rights Manager who will
review and forward to the Central Office Civil Rights office.
Construction Division will prepare a cost summary and forward to
Federal Program Management Division to obtain federal authorization
to award.
Comments on the bid documents and the DBE goal will be provided to
the Project Coordinator who will forward to the Locality Project
Manager to include in the final advertisement documents.
The Project Coordinator will notify the LPA Project Manager when
Federal Authorization to advertise has been obtained and State
funding verification is complete. A copy of the federal agreement will
be provided to the local government.
Where practical, the Project Coordinator will ensure all documents necessary
for advertisement approval are in files and uploaded into iPM, in the Project
Documents section.
Normally it takes 30 business days to obtain federal advertisement authorization after
submittal of a complete PS&E Package. The VDOT Project Coordinator will notify the
LPA Project Manager, in writing, after receiving the federal authorization.
Prior to advertisement the LPA must incorporate comments provided by the VDOT
federal submissions officer (advisory comments, excluded) and must incorporate the
DBE Goals provided by the VDOT Civil Rights Division. Should subsequent reviews or
audit reveal that required provisions were not included, VDOT may pursue
reimbursement of expended funds.
Special Program Requirements
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Urban Construction Initiative
UCI localities should follow the submittals as required under Section 12.5.7 - Special
Program Requirements of this manual to receive advertisement authorization and to
complete the PS&E process.
State Funded Projects
The LPA must request and receive funding verification prior to advertisement. The
VDOT Project Coordinator will notify the LPA Project Manager that funding verification
(IID-4) has been received. Funding verification takes 20 business days to complete.
VDOT Responsibilities
The District Planning and Investment Manager verifies and issues the IID-4
for Tier 1 projects and notifies the Project Coordinator. On Tier 2 projects, the
District Planning and Investment Manager requests Funding Verification from
the Infrastructure Investment Division (IID).
The Infrastructure Investment Division issues the signed IID-4 to the Planning
and Investment Manager (Tier 2 projects), who will notify the VDOT Project
Coordinator that funds have been verified.
Upon receipt of the signed IID-4, the VDOT Project Coordinator will notify the
LPA Project Manager that funding verification has been received and it may
proceed with advertising the project.
Special State-aid Projects
Projects funded strictly through special funding programs, such as access or revenue
sharing funds have previously received CTB authorization and do not require additional
Commissioner or CTB authorization to advertise or award. Right of Way Certification is
not necessary and the PS&E package is reviewed and approved at the District level.
LAP Manual 12-74 December 2017 Project Development
The LPA Project Manager must notify the VDOT Project Coordinator when the project is
advertised, when it is awarded, and the final award amount.
VDOT Responsibilities:
The Project Coordinator will enter the advertisement and award dates into the
project pool schedule and will update the project estimate.
12.6.8 ADVERTISEMENT
Federal-aid contracts must be advertised for a minimum of three weeks (21 days) 23 CFR 635.112. State-aid projects may be allowed a shorter time-frame in accordance with the Virginia
Public Procurement Act (VPPA).
LPAs must provide notice to the VDOT Project Coordinator that the contract is being
advertised and where the public notice and bid documents can be obtained.
12.6.9 PROJECT AWARD
12.6.9.1 Bid Opening and Analysis
The bid opening must be made in a public forum and read aloud. The LPA must record
the actual time and date of the bid openings and record any attendees.
The LPA will perform a preliminary evaluation of the bids for responsiveness and errors
and determine the apparent low bidder prior to submittal to VDOT for bid review and
final authorization. Any determination that a bid is non-responsive must be documented
and kept in the project file for a minimum of three years after the financial close-out of
the project. The following lists some, but not all, reasons a bid may be deemed
unresponsive:
(1) Failure to sign the bid or the bid is signed by an unauthorized individual;
LAP Manual 12-75 December 2017 Project Development
(2) Failure to furnish or sign a required bid bond;
(3) Failure to submit a price for each bid item;
(4) Failure to commit to DBE goals or demonstrate a good faith effort to do so, if
required in the IFB;
(5) Failure to be prequalified, if required in the IFB;
(6) The apparent low-bid is excessively over/under the engineer’s estimate.
For federal-aid contracts, the LPA Project Manager must consult with the VDOT Project
Coordinator and obtain concurrence from VDOT when making a determination that an
apparent low-bidder is non-responsive.
Determination of good faith efforts, when DBE goals have not been met
MUST be made in coordination with VDOT’s Civil Rights Division.
If the LPA determines that it will not award the contract to the lowest, responsive bidder,
it must contact the VDOT Project Coordinator and provide written justification for the
decision. The VDOT Construction Division must concur in the rejection of these bids. If
VDOT cannot concur with the LPA’s justification, the LPA will not be given authority to
award the contract to another bidder on the same contract at the same letting.
The LPAs bid analysis should address these points for the apparent low bid submitted:
Examine the unit bid prices for reasonable conformance with the Engineer’s
estimated prices
Include a thorough evaluation of obvious unit price unbalancing
Identify extreme variations with the Engineer’s Estimate
Reference 23 CFR 635-114(c),(d),(k)
LAP Manual 12-76 December 2017 Project Development
12.6.9.2 Project Award Submittal Package
After the LPA makes the determination of the apparent low-bidder, the LPA
shall submit to the VDOT Project Coordinator a request for bid review. This
request will contain the following:
1. A letter stating that the locality intends to award the contract to the apparent low-
bidder, to include:
Low bidders name
Mailing Address
Award amount including any proposed bid additives
Name of person (and title) that opened the bids
Advertisement date and where and when bids were opened.
2. A copy of the bid analysis including the tabulation of each bidding contractor’s
prices with the Engineers Estimate. Items that have a significant deviation from
the Engineers Estimate in the low bid unit prices are to be highlighted.
3. A detailed explanation if the award is to a bid that is greater than 10% over the
engineer’s estimate.
4. Required completed DBE Forms (C111, C112, C48, & C49)
5. Proof of required bonds
6. Required contractor certification forms (C104 & C105)
For any bid proposal and contract that received significant comments
during the PS&E Package review, VDOT may request that the LPA
submit the final bid proposal and contract for review, to ensure that all
mandatory items were included in the contract. VDOT will only review the final
bid proposal and contract for those items required to be included.
VDOT will make an independent evaluation of the bid, examining the unit bid prices for
reasonable conformance with the engineer’s estimated prices.
LAP Manual 12-77 December 2017 Project Development
VDOT will also review the bidder’s conformance with the DBE goals or, if necessary,
their documentation of good faith efforts to meet the DBE goal.
Special Program Requirements
Urban Construction Initiative
UCI localities can award contracts on their own but will still need Civil Rights
concurrence (if DBE Goal was established) and will need to provide select information
as shown below to their VDOT Project Coordinator in order for VDOT to update the
funding authorization agreement with FHWA, if necessary. The municipality must
provide the following;
For Civil Rights: the UCI locality needs to submit the following for review (as outlined in Chapter 12.6 in the LAP Manual for Civil Rights):
o DBE Forms C111, C112, C48, and C49
For Construction and Infrastructure Investment Divisions: In order for VDOT to receive funding verification and to update the federal-aid agreement with the FHWA, VDOT would need the following information from the UCI Locality (via email or letter):
o Advertisement date______________ o Bid Date__________ o Bidder Name ___________ o Home town and State_________ o Bid amount_______ o Contingency_________ o CEI___________ o Total amount__
12.6.9.3 VDOT Final Award Recommendation
After VDOT determines that the recommendation by the LPA is acceptable, project
funding is verified through the VDOT Infrastructure Investment Division. After funding
verification the Construction Division will forward to the Project Coordinator the
completed “funding distribution sheet.”
LAP Manual 12-78 December 2017 Project Development
Prior to final award the Project Administration Agreement must be
amended to adjust for funding expended during the preliminary
engineering and right of way phases, for the estimated construction
costs and (separation) of funding sources (See Chapter 10 of this Manual).
VDOT Responsibilities:
The Project Coordinator will accept and review the Project Award
Submission Package and forward the entire package with a
recommendation to Construction Division for Review;
The Project Coordinator will forward to the DCRM, who will review and
forward to Central Office Civil Rights Division the following:
o Recommended low bidders Name, Mailing Address and Low
Bid Amount and tabulation;
o Required completed DBE Forms (C111, C112, C48, & C49)
Construction Division and the Civil Rights Division will notify the Project
Coordinator if additional information as necessary. The Project
Coordinator will forward the request to the LPA and coordinate
obtaining additional information as necessary;
After resolution of any outstanding items, the Construction Division will
verify funding through the Infrastructure Investment Division and
provide a copy of the funding verification to LAD.
The Project Coordinator will amend the Project Administration
Agreement Appendix A to reflect actual expenses incurred during the
PE and ROW phases and the construction award amount.
Upon receipt of recommendation to award from Construction Division,
the Project Coordinator will notify the LPA Project Manager, in writing
that the project may be awarded.
Special Program Requirements
Urban Construction Initiative
LAP Manual 12-79 December 2017 Project Development
Civil Rights will review and determine if the DBE goal has been met on the UCI
project (if a DBE goal was set). In addition, the VDOT Project Coordinator will
work with Construction and Federal Programs Management Division to update
the federal-aid agreement with FHWA and to ensure that the project funding is
adequate to cover the recommended award amount including CEI and
contingencies. The UCI Locality will update PCES as necessary.
12.6.9.4 Dashboard (Regular and SMART Scale)
After the project is awarded, LPAs administering projects are required to regularly
coordinate with the VDOT Project Coordinator (PC)/Construction Project Monitor (CPM)
to provide milestone updates. The VDOT PC/CPM is responsible for ensuring the
Dashboard is updated. Projects which are not updated will be reported as late or over
expended according to the business rules of Dashboard. See LAP Manual Chapter
13.1.4.2 for additional details on the VDOT Dashboards and their respective
requirements.
12.6.10 Local Force Construction
Section 33.2-234 of the Code of Virginia provides that state and or locality employees
may be used for construction of projects estimated at $600,000 or less. In addition the
Commissioner of Highways may enter into an agreement with a locality to construct or
maintain any roads in the system of state highways provided the locality has obtained a
cost estimate of not more than $1 million and the locality has received fewer than two
bids from private entities to perform such work.
A “Finding of Cost Effectiveness” shall be submitted to VDOT’s Project
Coordinator and subsequently approved by FHWA. The locality must not
begin construction work utilizing its own forces until such time as it has
received concurrence to do so from the Project Coordinator.
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For non federal-aid projects, all requirements are the same as above, except that the
special federal regulations and a “Finding of Cost Effectiveness” are not required for use
of a locality’s forces to construct a project. However, if a locality requests authority to
perform construction work utilizing its own forces, the request shall be evaluated in the
same manner that VDOT evaluates requests to perform work with state forces. This
includes the requirement that a cost benefit analysis be prepared which indicates that
using locality forces results in lower cost and equal or faster project completion than the
competitive bid process. The cost benefit analysis and supporting documentation shall
be submitted to VDOT’s Project Coordinator. The LPA should not begin
construction work utilizing its own forces until such time as it has received
concurrence to do so from the Project Coordinator.
LAP Manual 12-81 December 2017 Project Development
12.6.11 Key Submittals / Requirements
Task/Submittal/File
Documentation LPA
Responsibility VDOT P.C.
Responsibility Submittal Timing/
Recordkeeping Requirements
PS&E Submittal Package Ensure a complete quality submittal
Review for completeness, upload pertinent info in iPM, forward to appropriate VDOT staff
LPA to submit at least 30 business days prior to target advertisement date; VDOT to approve & provide advertisement authorization within 20 business days
Project Award Submittal Package
Ensure DBE goals / good faith effort; package is complete;
Construction and Civil Rights Divisions to review
LPA to submit at least 20 business days prior to target award date
Construction Dashboard Information
Enter into VDOT Construction Dashboard
VDOT Construction Project Monitor will ensure projects are in Dashboard at first billing
Immediately after notice to proceed;
12.6.12 References
23 CFR 630, Subpart B Guidelines for Preparation of Plans, Specifications, and Estimates
23 CFR 633, Subpart A – Required Contract Provisions – Federal Aid Construction Contracts
23 CFR 635
Virginia Public Procurement Act; Code of Virginia Title 2.2 Chapter 43
FHWA Contract Administration Core Curriculum Manual
VDOT/FHWA Virginia Division Stewardship Oversight Agreement, June 2015 FHWA Guidelines on Preparing Engineer’s Estimate, Bid Reviews and Evaluation
http://www.fhwa.dot.gov/programadmin/contracts/ta508046.cfm
LAP Manual 12-82 December 2017 Project Development
Appendices:
Appendix 12.6 A - Advertisement and Award Submittals Checklist
Appendix 12.6 B – Locality/VDOT Certification of Documents Form
Appendix 12.6 C – Advertisement and Award Checklist
LAP Manual 12.6 – A-1 December 2017 Project Development
Appendix 12.6 –A Checklist
Advertisement & Award Submittals for Construction
LAP Manual 12.6 – A-2 December 2017 Project Development
Projects Requiring Authorization to Advertise & Award Submittal for Review The following must be received by VDOT’s Project Coordinator 30 business days prior to advertisement.
1. __ Bid Documents
2. __ Estimate
3. __ Complete set of plans
Submission of Finalized Documents for Projects Requesting Authorization to Advertise The locality shall ensure that VDOT’s Project Coordinator has received the following information for submission to Construction Division no less than 20 business days prior to advertisement.
1. __ Request for authorization to advertise the project
2. __ Current Engineer’s Estimate to include CEI & Contingency
3. __ Copy of the proposal
4. __ Locality Certification of Documents (Complete and Sign Appendix 12.6-B) Submission of Documents for Projects Requiring Authorization to Award After receipt of bids the locality shall ensure that VDOT’s Project Coordinator has received the following information for it to be submitted to Construction Division no less than 20 business days prior to target award date.
1. A letter stating that the locality intends to award the contract to the apparent low-bidder, to include:
Low bidders name
Mailing Address
Award amount including any proposed bid additives
Name of person (and title) that opened the bids
Advertisement date and where and when bids were opened
2. A copy of the bid analysis including the tabulation of each bidding contractor’s prices with the Engineer’s Estimate. Items that have a significant deviation from the Engineer’s Estimate in the low bid unit prices are to be highlighted.
3. A detailed explanation if the award is to a bid that is greater than 10 percent over the engineer’s estimate.
4. Required completed DBE Forms (C111, C112, C48, & C49)
5. Proof of required bonds
6. Required contractor certification forms (C104 & C105)
•All Federally funded projects require VDOT authorization to award
LAP Manual 12.6 – B-1 December 2017 Project Development
Appendix 12.6B
Locality/VDOT Certification of Documents
LAP Manual 12.6 – B-2 December 2017 Project Development
(LAP 402A) CERTIFICATION OF DOCUMENTS
(To be completed by LPA Project Manager)
STATE PROJECT#: ________________________ FEDERAL PROJECT #: _____________________
UPC: ___________
NEPA Document Permits (if applicable) N/A Waivers & Design Exceptions (includes criteria) Right of Way Certification (includes Railroad & Utilities certifications) Agreements (includes Railroad, Utilities and Right of Way) Public Hearing/Willingness/Waiver requirements per LAP Manual Ch 12.4 have
been met Design is in accordance with appropriate Design Criteria or Waiver Sequence of Construction/Transportation Management Plan (TMP) (required for
roadway projects) N/A Plans / No-Plan Assembly Proposal
Required Forms Required Federal Provisions & Current Wage Rates Environmental Permits (if applicable) N/A Project Specific Provisions
Current Engineer's Estimate including Construction Engineering & Inspection (CEI), Contingency, Local Forces, Contract Requirements, & Railroad Cost for Budget
Environmental Certification EQ-103 (provided by VDOT) PS&E Re-evaluation (provided by VDOT) R/W Certificate No. __________ Date ____________ (provided by VDOT)
I certify for the subject project the required items listed above and necessary for federal authorization to advertise have been completed, checked and the Proposal & Plans have been prepared in accordance with the standards and requirements included in the Locally Administered Projects Manual and are attached.
__________________________ ______________________ _____________ Locality Project Manager Printed Name Date
VDOT DISTRICT CERTIFICATION
I certify for the subject project the required items listed above and necessary for federal authorization to advertise have been completed, reviewed by District staff, entered into iPM where applicable, and the Proposal & Plans have been prepared in accordance with the standards and requirements included in the Locally Administered Projects Manual and are attached.
VDOT District Project Coordinator Date
LAP Manual 12.6 – B-1 December 2017 Project Development
APPENDIX 12.6C
Advertisement and Award Checklist
CH 12.6 - Advertisement & Award
This section outlines the requirements associated with advertisement and award of federal-aid and certain state-aid projects. LPA's must follow the outlined procedures in order to ensure that they are fully reimbursed for eligible project costs.
SUBMIT COMPL F S-V S-L T-A UCI Requirement Reference LAP Other
X -- -- X X Submit IFB/Contract for Review
12.6.3 23CFR635
X -- -- X X Mandatory Federal-aid Provisions included in IFB/Contract (incl FHWA1273)
17.3.2 FHWA1273
X -- -- X X Civil Rights Language included in IFB/contract
12.6.5 17.3
X -- -- X X Review for and inclusion of DBE Goal in IFB/contract
12.6.5 17.4
23CFR635.107
X -- -- X X US DOL Minimum Wage Rates
17.3.7 23CFR635.309(f)
X -- -- X X OJT provisions included if
requested by VDOT
17.5 23CFR230.111
X -- -- -- -- Restrict bidders to VDOT Pre-qualified contractors
12.6.6
X X** X** X X PS&E Submittal Package1 - include PSE Submittal form
12.6.2 12.6.7
X X -- X X Engineer’s Estimate with cost summary (CEI, Contingency)
12.6.7
X X -- X X Complete set of plans 12.6.7
X -- -- X X Environmental conditions and commitments documented
15.2 23CFR635.309(j)
LAP Manual 12.6 – B-2 December 2017 Project Development
X -- -- X X Specifications shall include written instructions for constructing the project or reference VDOT's Road and Bridge Specifications
23CFR630.205(b)
X X -- X X Signed Title Sheet2 12.6.7
X -- -- X X Locality Certification of Documents Completed (Appendix 12-B)
12.6.7
X -- -- X X Evidence of Public Hearing, notice, or Willingness
12.6.7 12.4.5
X X -- X X Receive Construction Advertisement Authorization from VDOT
12.6.7
X X X X X Advertise 21 days &
maintain supporting documentation3
12.6.8 23CFR635.112 VPPA
X X -- X X Publicly read bid-opening & maintain supporting documentation
12.6.9
X -- -- -- X Verify that selected
contractor is prequalified
12.6.6 12.6.9.1
X -- -- X X Ensure selected responsible, low-bid contractor is not de-barred from federal work
12.6.6 49CFR29
X -- -- X X Unit prices do not vary significantly from engineer’s estimate (>25%); bids are not mathematically unbalanced
12.6.9.2 23CFR635.114
X -- -- X X Materials not significantly unbalanced
12.6.9.2 23CFR635.114
X X4 -- X X Submit Project Award Submittal Package for Review
12.6.9.2
X X5 -- X -- Award recommendation from VDOT
12.6.9.3
**State-aid projects funded with formula allocations must receive funding verification and authorization from
VDOT prior to award. A Project Award submittal package must be submitted to the VDOT Project Coordinator.
1PS&E Package is reviewed in Central Office for federal-aid projects; state-aid only are reviewed in District
2 Title sheet must include VDOT signature blocks for federal-aid projects except for TA & UCI
projects.
LAP Manual 12.6 – B-3 December 2017 Project Development
3 State-aid projects may be advertised less than 21 days in accordance with VPPA
4 State-aid Formula-funded projects; Concurrence for Revenue Sharing and Access Projects is not required;
prior authorization through CTB action to allocate the funding
5 Award recommendation issued by VDOT